N. M. ROTHSCHILD & SONS LIMITED

Date authorised
1 April 2013
Companies House
00925279
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    New Court
    St Swithin's Lane
    London
    EC4N 8AL
    UNITED KINGDOM
    Phone
    +4402072805000
    Web
    https://www.rothschildandco.com

  • Complaints Contact

    New Court
    St Swithin's Lane
    London
    EC4N 8AL
    UNITED KINGDOM
    Phone
    +4402072805000

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • 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, 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, Spread Bet, Unit, Warrant

    Show 2 limitations
    • · Advice to retail clients is limited to corporate finance business only
    • · 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.

  • Authorised to Operate

    Show 1 limitation
    • · 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, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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 End Date

  • Buy-to-Let Status

  • 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, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Martin George Michael Hull

    IRN MGH01054

    • (752)CF30 Customer (14 Oct 2016 to 15 Jun 2018)
    • (753)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Martin James Bernard Fewings

    IRN MJF01135

    • (831)CF21 Investment Adviser (1 Dec 2001 to 13 Dec 2002)
  • Martin James Turner

    IRN MXT01355

    • (537)CF21 Investment Adviser (2 Apr 2003 to 7 Oct 2003)
  • Martin Johann Bauhuber

    IRN MJB01687

    • (99)[FCA CF] Manager of certification employee (since 31 Dec 2020)
    • (98)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1912)CF30 Customer (14 Dec 2009 to 6 Mar 2016)
  • Martin Lawrence Kingston

    IRN MLK01009

    • (992)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (993)CF21 Investment Adviser (26 Mar 2007 to 31 Oct 2007)
  • Martin Murphy

    IRN MXM01430

    • (2409)CF21 Investment Adviser (1 Dec 2001 to 24 Apr 2006)
  • Martin Peter Holland

    IRN MPH01112

    • (2385)CF30 Customer (1 Nov 2007 to 31 Mar 2013)
    • (2386)CF23 Corporate Finance Adviser (28 Oct 2005 to 31 Oct 2007)
  • Martin Sabela

    IRN MXS01298

    • (1307)[FCA CF] Client dealing (4 May 2023 to 10 Jan 2024)
  • Martin Thrane Pedersen

    IRN MTP01062

    • (1065)CF30 Customer (11 May 2018 to 8 Dec 2019)
  • Martin Tomaszewski

    IRN MXT01471

    • (136)[FCA CF] Client dealing (since 31 Dec 2020)
    • (137)[FCA CF] Manager of certification employee (since 31 Dec 2020)
    • (2258)CF30 Customer (14 Oct 2016 to 8 Dec 2019)
    • (2259)CF23 Corporate Finance Adviser (26 Oct 2005 to 31 Oct 2007)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

Recent activity

Updates to this firm's record on the FCA register.

  1. controlled function added: (460)[FCA CF] Manager of certification employee

  2. controlled function added: (459)[FCA CF] Client dealing

  3. controlled function added: (458)[FCA CF] Client dealing

  4. controlled function added: (457)[FCA CF] Client dealing

  5. controlled function added: (456)[FCA CF] Material risk taker

  6. controlled function added: (455)[FCA CF] Client dealing

  7. controlled function added: (454)[FCA CF] Client dealing

  8. controlled function added: (453)[FCA CF] Client dealing

  9. controlled function added: (452)[FCA CF] Client dealing

  10. controlled function added: (451)[FCA CF] Manager of certification employee

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