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.

  • Michael Beadle

    IRN MJB01528

    • (1568)CF21 Investment Adviser (30 Sep 2004 to 7 Sep 2007)
  • Michael Daniel Kelly

    IRN MDK01057

    • (1745)CF30 Customer (7 Mar 2017 to 9 Nov 2017)
  • Michael Davitt Clancy

    IRN MDC01072

    • (2298)CF30 Customer (19 Sep 2016 to 9 Nov 2017)
  • Michael Haddleton

    IRN MXH00729

    • (1429)[FCA CF] Client dealing (25 Jul 2022 to 7 Aug 2025)
  • Michael Hajda

    IRN MXH03348

    • (272)[FCA CF] Client dealing (since 10 Nov 2025)
  • Michael Helou

    IRN MXH01473

    • (619)CF30 Customer (1 Nov 2007 to 10 Feb 2010)
    • (620)CF23 Corporate Finance Adviser (1 Dec 2001 to 25 Jan 2002)
  • Michael James Hill

    IRN MXH01074

    • (425)[FCA CF] Client dealing (since 13 Sep 2023)
  • Michael John Buckley

    IRN MJB01437

    • (568)CF30 Customer (1 Nov 2007 to 11 Jul 2008)
    • (569)CF23 Corporate Finance Adviser (8 Oct 2002 to 31 Oct 2007)
  • Michael John Old

    IRN MJO01110

    • (1557)CF21 Investment Adviser (25 Oct 2004 to 8 Sep 2006)
  • Michael John Paul Olstowski

    IRN MXO06525

    • (1580)[FCA CF] Client dealing (31 Dec 2020 to 6 Aug 2021)
    • (1579)CF30 Customer (22 Sep 2018 to 8 Dec 2019)
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: (420)[FCA CF] Client dealing

  2. controlled function added: (419)[FCA CF] Client dealing

  3. controlled function added: (418)[FCA CF] Client dealing

  4. controlled function added: (417)[FCA CF] Client dealing

  5. controlled function added: (416)[FCA CF] Client dealing

  6. controlled function added: (415)[FCA CF] Client dealing

  7. controlled function added: (414)[FCA CF] Client dealing

  8. controlled function added: (413)[FCA CF] Manager of certification employee

  9. controlled function added: (412)[FCA CF] Client dealing

  10. controlled function added: (411)[FCA CF] Client dealing

Show more