ROTHSCHILD & CO GLOBAL MARKETS SOLUTIONS LIMITED

• Principal Place of Business

  Capital House

  85 King William Street

  London

  City Of London

  EC4N 7BL

  UNITED KINGDOM

  Phone

  +442070002020

  Web

  https://www.rothschildandco.com

• Complaints Contact

  Capital House

  85 King William Street

  London

  City Of London

  EC4N 7BL

  UNITED KINGDOM

  Phone

  +442070002020

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Rights to or interests in investments (Security), Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Douglas David Sharp

  IRN DDS01028

  • CF11 Money Laundering Reporting (8 May 2014 to 1 Jun 2018)
  • CF10 Compliance Oversight (8 May 2014 to 1 Jun 2018)
• Drew Beasley

  IRN DXB00381

  • [FCA CF] Client dealing (8 Oct 2020 to 6 Jul 2021)
• Duncan Littlejohns

  IRN DXL16923

  • [FCA CF] Client dealing (since 1 Jan 2026)
• Dylan Austin Levine

  IRN DXL00537

  • [FCA CF] Client dealing (since 21 Jan 2025)
• Edmund Fitzalan Howard

  IRN EXH00231

  • [FCA CF] Client dealing (since 21 Sep 2022)
• Edward Griffith Vaughan

  IRN EGV01004

  • CF30 Customer (28 Sep 2019 to 8 Dec 2019)
• Edward Hawney

  IRN EXH00232

  • [FCA CF] Client dealing (since 20 Sep 2022)
• Edward Lewis

  IRN EJL01024

  • [FCA CF] Client dealing (since 14 Aug 2023)
• Edward Nicholas Ridley-Day

  IRN EXR01076

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • CF30 Customer (21 Jul 2016 to 8 Dec 2019)
• Edward Vyvyan

  IRN EXV12939

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (23 Mar 2019 to 8 Dec 2019)

No changes recorded yet.