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 Loo

    IRN MXL00287

    • (1757)[FCA CF] Client dealing (11 Aug 2022 to 30 Sep 2024)
  • Michael Marks

    IRN MXM03093

    • (134)CF30 Customer (15 Oct 2012 to 16 Jan 2013)
  • Michael Scott Yates

    IRN MSY01013

    • (263)CF30 Customer (28 Mar 2008 to 31 Aug 2009)
  • Michael Spasov

    IRN MIS01038

    • (1691)CF30 Customer (1 Nov 2007 to 19 Aug 2010)
    • (1692)CF23 Corporate Finance Adviser (24 Nov 2005 to 31 Oct 2007)
  • Michael Tarrant

    IRN MXT01308

    • (578)CF30 Customer (1 Nov 2007 to 1 Feb 2011)
    • (580)CF1 Director (1 Dec 2001 to 23 Aug 2004)
    • (579)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Michael Tsangarides

    IRN MXT01555

    • (2009)CF30 Customer (23 Nov 2007 to 31 Jul 2014)
  • Michael Wilson Ruiloba

    IRN MXW02437

    • (1067)CF30 Customer (3 May 2018 to 8 Dec 2019)
  • Michal Tomasz Lewicki

    IRN MXL00445

    • (1391)[FCA CF] Client dealing (12 Aug 2022 to 19 Jun 2025)
  • Michelle Labarthe

    IRN MXL01623

    • (352)CF30 Customer (9 Dec 2009 to 30 Jun 2011)
  • Michelle Rachel Clarke

    IRN MRG01070

    • (887)CF21 Investment Adviser (1 Dec 2001 to 7 Aug 2006)
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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: (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

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