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

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

• Authorised to Operate

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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  • · 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

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

• James Kebell

  IRN JXK01206

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (24 Sep 2018 to 8 Dec 2019)
• James Pavey

  IRN JXP00576

  • [FCA CF] Client dealing (24 Jan 2022 to 29 Mar 2022)
• James Woodthorpe

  IRN JXW87420

  • SMF16 Compliance Oversight (25 Sep 2020 to 13 Jul 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (25 Sep 2020 to 13 Jul 2021)
  • [FCA CF] Material risk taker (25 Sep 2020 to 19 Aug 2021)
• Jamie Clark

  IRN JDC01153

  • [FCA CF] Client dealing (since 2 Oct 2024)
• Jamie Robin Mieklejohn Tunnicliffe

  IRN JRT01066

  • CF30 Customer (1 Apr 2014 to 5 Jun 2015)
• Janiel Nakrani

  IRN JXN01593

  • [FCA CF] Client dealing (since 17 Oct 2022)
• Jared Lechner

  IRN JXL00513

  • [FCA CF] Client dealing (since 23 Mar 2022)
• Jeremy David Bragg

  IRN JDB01195

  • [FCA CF] Client dealing (9 Dec 2019 to 17 May 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 17 May 2022)
  • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
• Jeremy Fialko

  IRN JXF01230

  • CF30 Customer (1 Apr 2014 to 3 Oct 2018)
• Jeremy Michael Owen Evans

  IRN JME01037

  • SMF9 Chair of the Governing Body (12 Oct 2022 to 18 Sep 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Sep 2023)
  • SMF1 Chief Executive (9 Dec 2019 to 1 Dec 2022)
  • SMF3 Executive Director (9 Dec 2019 to 1 Dec 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2023)
  • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
  • CF3 Chief Executive (1 Apr 2014 to 8 Dec 2019)
  • CF1 Director (1 Apr 2014 to 8 Dec 2019)

No changes recorded yet.