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.

  • Kavi Mehan

    IRN KXM00675

    • (1132)[FCA CF] Client dealing (14 Feb 2024 to 19 Aug 2024)
  • Kavita Gupta

    IRN KXG01139

    • (1028)CF30 Customer (17 Aug 2011 to 22 Nov 2012)
    • (1029)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Keith Francis Palmer

    IRN KFP01011

    • (958)CF30 Customer (1 Nov 2007 to 31 Mar 2008)
    • (959)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Keith Rupert Declifford Sadler

    IRN KRS01041

    • (866)CF23 Corporate Finance Adviser (1 Dec 2001 to 19 Dec 2005)
  • Kelly Aletha Rogers

    IRN KAR01040

    • (873)CF21 Investment Adviser (1 Dec 2001 to 30 Jul 2004)
  • Kenneth Robert White

    IRN KRW01029

    • (637)CF30 Customer (1 Nov 2007 to 31 Mar 2011)
    • (638)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • (639)CF1 Director (1 Dec 2001 to 13 Dec 2004)
  • Kevin Joyce

    IRN KXJ01066

    • (978)CF23 Corporate Finance Adviser (1 Dec 2001 to 30 Nov 2004)
  • Kevin Malcolm Ramsden

    IRN KMR01024

    • (825)CF30 Customer (1 Nov 2007 to 30 Jun 2012)
    • (826)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Kevin Wang

    IRN KXW01513

    • (77)CF30 Customer (20 Feb 2015 to 6 Mar 2016)
  • Khai Lin Foo

    IRN KLF01018

    • (257)CF23 Corporate Finance Adviser (1 Dec 2001 to 28 Mar 2003)
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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: (440)Director of firm who is not a certification employee or a SMF manager

  2. controlled function added: (439)[FCA CF] Client dealing

  3. controlled function added: (438)[FCA CF] Client dealing

  4. controlled function added: (437)[FCA CF] Client dealing

  5. controlled function added: (436)[FCA CF] Client dealing

  6. controlled function added: (435)[FCA CF] Client dealing

  7. controlled function added: (434)[FCA CF] Client dealing

  8. controlled function added: (433)[FCA CF] Client dealing

  9. controlled function added: (432)[FCA CF] Client dealing

  10. controlled function added: (431)[FCA CF] Client dealing

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