Rothschild & Co Wealth Management UK Limited

• Principal Place of Business

  New Court

  St. Swithin's Lane

  London

  EC4N 8AL

  UNITED KINGDOM

  Phone

  +442072805000

  Web

  https://www.rothschildandco.com/en/wealth-management/united-kingdom/

• Complaints Contact

  New Court

  St. Swithin's Lane

  London

  EC4N 8AL

  UNITED KINGDOM

  Phone

  +442072805000

• Buy-to-Let Mortgage Admin

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• Buy-to-Let Mortgage Lending

• Mortgage Servicing

  For Customer, Regulated mortgage contract

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Land Loan Advice

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Mortgage Advice

  For Customer, Regulated mortgage contract

• 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, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

  Show 1 limitation Hide limitations

  • · Short description - Limited to exempt agreements under Article 60H of the RAO and Article 60(C)(3) of the RAO only. Long Description - The firm’s credit broking activities are limited to customers who have certified as High Net Worth (HNW) individuals under Article 60H of the RAO or have certified that the nature of the loan is wholly or predominantly for business purposes under Article 60(C)(3) of the RAO.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Unit

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.
  • · Limited to ICVC box management activities.

• Mortgage Lending

  For Customer, Regulated mortgage contract

• Consumer Loans

• Loan Servicing

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

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

• Burr Noland Carter

  IRN BNC01011

  • CF3 Chief Executive (22 May 2006 to 13 Jul 2007)
  • CF8 Apportionment and Oversight (22 May 2006 to 13 Jul 2007)
  • CF21 Investment Adviser (27 Jan 2006 to 13 Jul 2007)
  • CF1 Director (27 Jan 2006 to 13 Jul 2007)
• Camilla Marie Karlsson

  IRN CMK01030

  • CF30 Customer (1 Nov 2007 to 18 Jan 2008)
  • CF27 Investment Management (27 Nov 2002 to 31 Oct 2007)
• Carol Janice Paterson Smith

  IRN CJP01107

  • CF30 Customer (1 Nov 2007 to 6 Oct 2008)
  • CF21 Investment Adviser (3 Dec 2004 to 31 Oct 2007)
• Charles Edward Talbot Costa Duarte

  IRN CET01031

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 31 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 31 Dec 2020)
  • [FCA CF] Manager of certification employee (since 31 Dec 2020)
  • CF30 Customer (15 Oct 2013 to 8 Dec 2019)
• Charlotte Rebecca Mettyear

  IRN CRR01048

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Manager of certification employee (since 29 Jan 2025)
  • [FCA CF] Client dealing (since 31 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 31 Dec 2020)
  • CF30 Customer (13 Jun 2014 to 8 Dec 2019)
• Chris Oliver

  IRN CXO01332

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 3. Giving personal recommendations on derivatives
  • [FCA CF] Client dealing (since 31 Jan 2026)
  • [FCA CF] Manager of certification employee (since 31 Jan 2026)
  • [FCA CF] Functions requiring qualifications (since 31 Jan 2026)
• Christian Louis Rene Bouet

  IRN CXB00936

  • [FCA CF] Material risk taker (1 Jan 2024 to 18 Dec 2024)
• Christian Louis Rene Bouet

  IRN CLB01099

  • [FCA CF] Material risk taker (since 1 Jan 2024)
  • Director of firm who is not a certification employee or a SMF manager (since 31 Dec 2020)
• Christopher Andrew Shaw

  IRN CXS00252

  • [FCA CF] Functions requiring qualifications (31 Dec 2020 to 1 Dec 2023)
  • [FCA CF] Client dealing (31 Dec 2020 to 1 Dec 2023)
• Christopher Lewis Coleman

  IRN CLC01024

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 31 Dec 2020)
  • [FCA CF] Manager of certification employee (since 31 Dec 2020)
  • [FCA CF] Client dealing (since 31 Dec 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (since 16 Sep 2016)
  • CF1 Director (16 Aug 2016 to 8 Dec 2019)

No changes recorded yet.