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

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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, 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.

• David Hugh Joseph Jessel

  IRN DHJ01009

  • 14. Managing investments
  • [FCA CF] Manager of certification employee (since 1 Feb 2023)
  • [FCA CF] Functions requiring qualifications (since 16 Nov 2021)
  • [FCA CF] Client dealing (since 16 Nov 2021)
  • CF30 Customer (4 Apr 2013 to 20 Aug 2018)
• David Laurence Harris

  IRN DLH01049

  • CF2 Non Executive Director (15 Jan 2003 to 21 Jul 2005)
• David Lawrence Mott

  IRN DLM01053

  • [FCA CF] Client dealing (31 Dec 2020 to 31 Jul 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF26 Customer Trading (5 Mar 2003 to 31 Oct 2007)
• David Thomas James Hawkins

  IRN DTH01060

  • CF30 Customer (17 May 2016 to 23 Dec 2016)
• Davydd Wynne

  IRN DOW01001

  • CF27 Investment Management (27 Nov 2002 to 30 Mar 2007)
• Dean Anthony Lush

  IRN DAL01075

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [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)
  • [FCA CF] Material risk taker (1 Jan 2024 to 31 Dec 2024)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (27 Nov 2002 to 31 Oct 2007)
  • CF1 Director (27 Nov 2002 to 23 Jan 2007)
• Dina Anne De Angelo

  IRN DAD01048

  • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
  • CF21 Investment Adviser (16 Apr 2004 to 31 Oct 2007)
• Dominic Edward Ian Epton

  IRN DEE01010

  • 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 (31 Dec 2020 to 30 Oct 2023)
  • CF30 Customer (16 Apr 2012 to 8 Dec 2019)
• Donald NARTEY

  IRN DXN01348

  • 3. Giving personal recommendations on derivatives
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 4 May 2022)
  • [FCA CF] Client dealing (since 4 May 2022)
• ESTER DOLORES BORTOT

  IRN EDB01029

  • CF30 Customer (19 Jun 2015 to 25 Jul 2017)

No changes recorded yet.