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.

• Alexandra Helen West

  IRN AHW01046

  • CF30 Customer (1 Apr 2014 to 5 May 2015)
• Alexandra Rebecca Loth

  IRN AXL13885

  • [FCA CF] Client dealing (since 1 Jan 2026)
• Alice Harper

  IRN AXC02295

  • SMF3 Executive Director (since 3 Nov 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 13 Jul 2021)
  • SMF16 Compliance Oversight (since 13 Jul 2021)
  • [FCA CF] Material risk taker (27 Sep 2021 to 11 Dec 2025)
  • SMF16 Compliance Oversight (9 Dec 2019 to 1 Oct 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Oct 2020)
  • CF11 Money Laundering Reporting (1 Jun 2018 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Jun 2018 to 8 Dec 2019)
• Alice Jane Squires

  IRN AJS01685

  • Director of firm who is not a certification employee or a SMF manager (since 10 Dec 2025)
  • [FCA CF] Material risk taker (27 Sep 2021 to 10 Dec 2025)
• Alistair Donald Benjamin Boyle

  IRN ADB01100

  • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
• Alistair Johnson

  IRN AXJ13872

  • [FCA CF] Client dealing (9 Dec 2019 to 4 Apr 2022)
  • CF30 Customer (18 Apr 2019 to 8 Dec 2019)
• Amal Shah

  IRN AXS04199

  • CF30 Customer (29 Jul 2015 to 9 Mar 2018)
• Andrew Chader

  IRN AXC00727

  • [FCA CF] Client dealing (since 15 Mar 2022)
• Andrew James Quick

  IRN AJQ01004

  • SMF18 Other Overall Responsibility (since 5 Dec 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [PRA CF] Significant risk taker or Material risk taker (1 Sep 2022 to 2 Sep 2022)
  • [FCA CF] Material risk taker (1 Sep 2022 to 11 Dec 2025)
  • [FCA CF] Significant management (1 Sep 2022 to 5 Dec 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 5 Dec 2022)
  • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
• Andrew John Preston

  IRN AJP01170

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Apr 2014 to 8 Dec 2019)

No changes recorded yet.