N. M. ROTHSCHILD & SONS LIMITED

Date authorised
1 April 2013
Companies House
00925279
Last scraped
6 days 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.

  • Patrick James Burke

    IRN PJB01472

    • (238)CF30 Customer (2 May 2012 to 1 Nov 2013)
  • Patrick Kitzmueller-Schuetz

    IRN PXK00138

    • (1036)[FCA CF] Client dealing (31 Dec 2020 to 29 Jan 2021)
  • Patrick Starrett

    IRN PXS00973

    • (273)[FCA CF] Client dealing (since 6 Nov 2025)
  • Patrick Thomas Wellington

    IRN PTW01018

    • (221)[FCA CF] Client dealing (since 6 Jan 2022)
  • Patrick Vincent Groarke

    IRN PVG01002

    • (175)[FCA CF] Client dealing (since 6 Feb 2025)
    • (1834)[FCA CF] Client dealing (25 Jul 2022 to 31 Dec 2024)
    • (1835)[FCA CF] Manager of certification employee (25 Jul 2022 to 31 Dec 2024)
  • Patrick Walder

    IRN PXW00149

    • (1809)[FCA CF] Client dealing (31 Dec 2020 to 30 Apr 2022)
  • Paul Alexander Davison

    IRN PAD01190

    • (1472)CF30 Customer (5 Aug 2014 to 6 Mar 2016)
  • Paul Andrew Emery

    IRN PAE01051

    • (1588)CF30 Customer (1 Nov 2007 to 28 Jul 2009)
    • (1589)CF23 Corporate Finance Adviser (21 Jun 2004 to 31 Oct 2007)
  • Paul Arvind Kulkarni

    IRN PAK01069

    • (474)CF21 Investment Adviser (21 Sep 2004 to 15 Jul 2005)
  • Paul Edward Reynolds

    IRN PER01028

    • (903)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (904)CF23 Corporate Finance Adviser (25 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: (430)[FCA CF] Client dealing

  2. controlled function added: (429)[FCA CF] Client dealing

  3. controlled function added: (428)[FCA CF] Client dealing

  4. controlled function added: (427)[FCA CF] Client dealing

  5. controlled function added: (426)[FCA CF] Client dealing

  6. controlled function added: (425)[FCA CF] Client dealing

  7. controlled function added: (424)[FCA CF] Client dealing

  8. controlled function added: (423)[FCA CF] Client dealing

  9. controlled function added: (422)[FCA CF] Client dealing

  10. controlled function added: (421)[FCA CF] Client dealing

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