N. M. ROTHSCHILD & SONS LIMITED

Date authorised
1 April 2013
Companies House
00925279
Last scraped
1 week ago

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 Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)

    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 Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)

    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.

  • Investment Setup

    For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)

    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.

  • Rajesh Varsani

    IRN RXV01043

    • (728)CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
  • Ralf Alexander Scherschmidt

    IRN RAS01183

    • (631)CF21 Investment Adviser (1 Dec 2001 to 5 Mar 2002)
  • Ralf Nachtigall

    IRN RXN01060

    • (944)CF30 Customer (1 Nov 2007 to 31 Mar 2011)
    • (945)CF21 Investment Adviser (8 Oct 2003 to 31 Oct 2007)
  • Randal Pringle

    IRN RXP00301

    • (498)[FCA CF] Client dealing (since 25 Jul 2022)
  • Ranjit Kaur Munro

    IRN RKM01020

    • (2030)CF30 Customer (1 Nov 2007 to 12 Aug 2011)
    • (2031)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Ranveer Bassey

    IRN RXB02791

    • (1227)[FCA CF] Client dealing (31 Dec 2020 to 22 Dec 2021)
    • (1226)CF30 Customer (29 Jul 2017 to 8 Dec 2019)
  • Raoul-Tristan Van Strien

    IRN RXV01222

    • (1655)[FCA CF] Client dealing (19 Jun 2023 to 30 Jun 2024)
  • Raphaelle Mathias

    IRN RXJ01064

    • (213)CF30 Customer (14 Oct 2016 to 8 Dec 2019)
    • (214)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Rasmus Engel Johansen

    IRN RXJ00316

    • (1504)[FCA CF] Client dealing (5 Sep 2024 to 8 Jan 2026)
  • Rasvi Ahmed

    IRN RXA01466

    • (1980)CF30 Customer (30 Nov 2009 to 6 Mar 2016)
Show more

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

Show more