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.

• Isobel Mary Baxter

  IRN IXB01106

  • CF2 Non Executive Director (21 Jan 2003 to 20 Oct 2005)
• JAYNE ALEXANDRA LAWSON

  IRN JAL01296

  • CF30 Customer (19 Jun 2015 to 31 Oct 2017)
• Jack David Armstrong Light

  IRN JDL01120

  • CF30 Customer (14 Sep 2015 to 3 Nov 2016)
• Jake Gavin Van Beever

  IRN JGV01011

  • 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 11 Dec 2023)
  • [FCA CF] Client dealing (since 31 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 31 Dec 2020)
  • CF30 Customer (25 Jun 2013 to 8 Dec 2019)
• James Andrew Fairbairn

  IRN JAF01065

  • CF30 Customer (8 Oct 2008 to 8 Dec 2019)
• James Andrew Strange

  IRN JAS01404

  • [FCA CF] Manager of certification employee (since 1 Sep 2025)
  • [FCA CF] Manager of certification employee (1 Feb 2023 to 1 Jan 2025)
• James Digby Peterson

  IRN JDP01084

  • 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 Dec 2020)
  • [FCA CF] Functions requiring qualifications (since 31 Dec 2020)
  • [FCA CF] Manager of certification employee (31 Dec 2020 to 1 Apr 2024)
  • CF30 Customer (16 Sep 2012 to 8 Dec 2019)
• James Edward de Lerisson Cazenove

  IRN JEC01220

  • 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 (19 Jun 2023 to 5 Feb 2024)
  • CF30 Customer (2 Apr 2008 to 8 Dec 2019)
• James Hamilton Chiswell

  IRN JHC01148

  • CF30 Customer (30 Jan 2015 to 17 Jul 2018)
• James Kent Morrell

  IRN JKM01050

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF1 Chief Executive (since 1 Jan 2026)
  • SMF3 Executive Director (since 26 Feb 2025)
  • [FCA CF] Functions requiring qualifications (since 31 Dec 2020)
  • [FCA CF] Client dealing (since 31 Dec 2020)
  • [FCA CF] Manager of certification employee (since 31 Dec 2020)
  • [FCA CF] Significant management (31 Dec 2020 to 31 Jan 2026)
  • CF30 Customer (24 May 2010 to 8 Dec 2019)

No changes recorded yet.