Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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N. M. ROTHSCHILD & SONS LIMITED
FRN 124451
- [FCA CF] Manager of certification employee (since 31 Dec 2020)
- [FCA CF] Client dealing (since 31 Dec 2020)
- SMF1 Chief Executive (since 9 Dec 2019)
- CF3 Chief Executive (11 Jan 2019 to 8 Dec 2019)
- CF29 Significant management (18 Mar 2010 to 6 Mar 2016)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
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- (96)[FCA CF] Material risk taker (5 Feb 2024 to 24 Apr 2026)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: [FCA CF] Material risk taker at Rothschild & Co Equity Markets Solutions Limited
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controlled function added: (96)[FCA CF] Material risk taker at Rothschild & Co Equity Markets Solutions Limited