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.

• Spyros Nicholas Delfas

  IRN SND01011

  • SMF18 Other Overall Responsibility (5 Dec 2022 to 17 Apr 2024)
  • [FCA CF] Material risk taker (27 Sep 2021 to 17 Apr 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 5 Dec 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 17 Apr 2024)
  • CF30 Customer (1 Apr 2014 to 8 Dec 2019)
• Stefan Yuriev Stoev

  IRN SYS01014

  • CF30 Customer (29 Oct 2014 to 2 Aug 2018)
• Stephen Paul Malcolm

  IRN SPM01114

  • [FCA CF] Manager of certification employee (1 Nov 2023 to 29 Nov 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 29 Nov 2025)
  • CF30 Customer (6 Feb 2019 to 8 Dec 2019)
• Stephen Swanton

  IRN SXS02019

  • CF30 Customer (1 Apr 2014 to 20 Oct 2017)
• Steven Chesney

  IRN SKC01047

  • [FCA CF] Manager of certification employee (since 4 Sep 2024)
  • [FCA CF] Client dealing (since 14 Aug 2023)
• Steven Lee Frost

  IRN SXF00432

  • SMF3 Executive Director (since 8 May 2025)
  • SMF2 Chief Finance (since 8 May 2025)
  • [FCA CF] Material risk taker (since 8 May 2025)
• Steven Peter East

  IRN SPE01025

  • SMF3 Executive Director (since 13 Jun 2024)
  • [FCA CF] Material risk taker (since 27 Sep 2021)
  • [FCA CF] Client dealing (since 2 Dec 2020)
  • SMF1 Chief Executive (13 Jun 2024 to 27 Jan 2026)
  • SMF18 Other Overall Responsibility (7 Mar 2023 to 13 Jun 2024)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 7 Mar 2023)
• Steven-Ryan Drew Priestley

  IRN SXP00920

  • [FCA CF] Client dealing (since 26 Mar 2024)
• Stuart Joyner

  IRN SXJ01186

  • [FCA CF] Manager of certification employee (since 24 Nov 2020)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (6 Nov 2017 to 8 Dec 2019)
• Sumant Wahi

  IRN SXW01711

  • CF30 Customer (1 Apr 2014 to 20 Aug 2014)

No changes recorded yet.