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.

  • Lachlan George Sheppeard Edwards

    IRN LGE00003

    • (686)CF21 Investment Adviser (1 Dec 2001 to 8 Sep 2006)
  • Lamberto Sanfelice Di Monteforte

    IRN LXS01118

    • (852)CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2004)
  • Lara Bennett

    IRN LXB00788

    • (314)[FCA CF] Client dealing (since 29 Apr 2025)
  • Lara Florence Hey

    IRN LXH00350

    • (469)[FCA CF] Client dealing (since 25 Jul 2022)
  • Lars Bjerkan

    IRN LXB01142

    • (969)CF21 Investment Adviser (14 May 2003 to 27 Jul 2004)
  • Lasse Munk

    IRN LXM00606

    • (1232)[FCA CF] Client dealing (11 Aug 2023 to 12 Sep 2024)
  • Laura Maria Caterina Dal Bianco

    IRN LMD01076

    • (2161)[FCA CF] Client dealing (31 Dec 2020 to 13 Aug 2021)
    • (2160)CF30 Customer (18 Apr 2018 to 8 Dec 2019)
  • Laura Mary Enevoldsen

    IRN LME01041

    • (1844)[FCA CF] Client dealing (31 Dec 2020 to 6 Apr 2023)
    • (1843)CF30 Customer (11 Jul 2018 to 8 Dec 2019)
  • Laura Patricia Homsy

    IRN LPM01024

    • (2152)CF30 Customer (23 Nov 2009 to 31 Dec 2009)
  • Lauren Cowan

    IRN LFB01015

    • (1660)[FCA CF] Client dealing (31 Dec 2020 to 17 Aug 2021)
    • (1658)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1659)CF23 Corporate Finance Adviser (16 Sep 2005 to 31 Oct 2007)
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: (570)SMF9 Chair of the Governing Body

  2. controlled function added: (569)[FCA CF] Material risk taker

  3. controlled function added: (568)Director of firm who is not a certification employee or a SMF manager

  4. controlled function added: (567)[FCA CF] Manager of certification employee

  5. controlled function added: (566)[FCA CF] Client dealing

  6. controlled function added: (565)[FCA CF] Material risk taker

  7. controlled function added: (564)[FCA CF] Manager of certification employee

  8. controlled function added: (563)[FCA CF] Client dealing

  9. controlled function added: (562)SMF1 Chief Executive

  10. controlled function added: (561)[FCA CF] Material risk taker

Show more