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.

  • Philip Lenarts

    IRN PXL00350

    • (358)[FCA CF] Client dealing (since 29 Apr 2025)
  • Philip Marie Louis Michel Prompers

    IRN PMP01062

    • (75)[FCA CF] Manager of certification employee (since 10 Feb 2026)
    • (74)[FCA CF] Client dealing (since 10 Feb 2026)
    • (1690)CF30 Customer (9 Jul 2014 to 6 Mar 2016)
  • Philip Mark Hare

    IRN PMH01150

    • (1733)[FCA CF] Manager of certification employee (20 Apr 2021 to 5 Aug 2022)
    • (1732)[FCA CF] Client dealing (31 Dec 2020 to 5 Aug 2022)
    • (1731)CF30 Customer (14 Feb 2019 to 8 Dec 2019)
  • Philip Martin Yeates

    IRN PMY01003

    • (1251)CF29 Significant management (20 Apr 2011 to 6 Mar 2016)
    • (1250)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1252)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • (1253)CF1 Director (1 Dec 2001 to 13 Dec 2004)
  • Philip Richard Smelt

    IRN PRS01166

    • (2158)CF30 Customer (1 Nov 2007 to 16 Jul 2010)
    • (2159)CF23 Corporate Finance Adviser (15 Jan 2007 to 31 Oct 2007)
  • Philip Stephen Colcomb

    IRN PXC01469

    • (1172)CF30 Customer (1 Nov 2007 to 31 Mar 2008)
    • (1173)CF21 Investment Adviser (25 Sep 2002 to 31 Oct 2007)
  • Philipp Alexander Edward Von Hagen

    IRN PAV01022

    • (434)CF30 Customer (1 Nov 2007 to 31 Mar 2008)
    • (435)CF23 Corporate Finance Adviser (23 Aug 2005 to 31 Oct 2007)
  • Philipp Christopher Gossow

    IRN PCG01033

    • (598)CF23 Corporate Finance Adviser (28 Jun 2002 to 31 Dec 2004)
  • Philipp Schleuning

    IRN PXS03026

    • (2071)[FCA CF] Client dealing (31 Dec 2020 to 21 Jan 2021)
    • (2070)CF30 Customer (6 Jun 2018 to 8 Dec 2019)
  • Philippe Francois Noel

    IRN PFN01009

    • (106)[FCA CF] Manager of certification employee (since 11 Aug 2023)
    • (105)[FCA CF] Client dealing (since 11 Aug 2023)
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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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