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.

  • Mark David Culwick

    IRN MDC01084

    • (802)CF30 Customer (1 Nov 2007 to 30 Dec 2010)
    • (803)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Mark Edward Collier

    IRN MEC01054

    • (723)CF30 Customer (1 Nov 2007 to 17 Aug 2012)
    • (724)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Mark Francis Warham

    IRN MFW01025

    • (984)CF30 Customer (16 Oct 2014 to 6 Mar 2016)
  • Mark James Butcher

    IRN MJB01315

    • (2017)CF1 Director (9 Dec 2004 to 13 Dec 2004)
    • (2016)CF21 Investment Adviser (1 Dec 2001 to 9 Sep 2007)
  • Mark James Capra

    IRN MJC01329

    • (565)CF21 Investment Adviser (23 Dec 2002 to 19 Nov 2004)
    • (564)CF22 Investment Adviser (Trainee) (11 Jun 2002 to 23 Dec 2002)
  • Mark James Sadie

    IRN MJS01271

    • (793)CF23 Corporate Finance Adviser (1 Dec 2001 to 20 Jun 2005)
  • Mark Leslie Crump

    IRN MXC00787

    • (456)[FCA CF] Material risk taker (since 10 Dec 2024)
  • Mark Maislish

    IRN MJM01433

    • (1972)CF30 Customer (6 Aug 2008 to 11 Feb 2011)
  • Mark Nelson Reid

    IRN MNR01012

    • (465)CF30 Customer (23 Oct 2008 to 4 Feb 2010)
  • Mark Ronald Boulos

    IRN MRB01215

    • (382)CF30 Customer (1 Nov 2007 to 1 Apr 2011)
    • (383)CF23 Corporate Finance Adviser (23 Feb 2007 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: (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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