N. M. ROTHSCHILD & SONS LIMITED
Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
New CourtSt Swithin's LaneLondonEC4N 8ALUNITED KINGDOM- Phone
- +4402072805000
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Complaints Contact
New CourtSt Swithin's LaneLondonEC4N 8ALUNITED KINGDOM- Phone
- +4402072805000
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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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 Hide 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.
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Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
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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 Hide limitations
- · 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.
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Buy-to-Let Start Date
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Buy-to-Let End Date
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Buy-to-Let Status
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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 Hide limitations
- · 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.
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Lewis Gray
IRN LXG00172
- (1697)[FCA CF] Client dealing (25 Jul 2022 to 15 Apr 2024)
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Lewis Rogerson
IRN LXR00287
- (1177)[FCA CF] Client dealing (30 Oct 2023 to 4 Oct 2024)
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Lewis Sinclair Parry
IRN LSP01031
- (1310)[FCA CF] Client dealing (31 Dec 2020 to 30 Mar 2022)
- (1309)CF30 Customer (7 Oct 2016 to 8 Dec 2019)
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Lillian Catherine Mary Shattock
IRN LCS01063
- (96)CF30 Customer (9 Jul 2014 to 4 Dec 2015)
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Linda Pasi
IRN LXP00190
- (2010)[FCA CF] Client dealing (29 Nov 2023 to 31 Jul 2024)
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Lisanne Liebich
IRN LXL00174
- (1414)[FCA CF] Client dealing (20 Apr 2022 to 15 Sep 2023)
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Liwei Zhang
IRN LXZ01015
- (528)CF23 Corporate Finance Adviser (28 Jul 2003 to 4 Jun 2004)
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Lloyd Edward Albert Martin
IRN LXM69711
- (2021)[FCA CF] Client dealing (24 Aug 2021 to 29 Apr 2022)
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Lois Emma Day
IRN LXD01312
- (1926)CF30 Customer (22 Jan 2010 to 24 Jul 2015)
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Lora Grigorova
IRN LXG01450
- (65)CF30 Customer (14 May 2015 to 6 Mar 2016)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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Rothschild & Co Europe Partnership (no longer appointed)
FRN 801234 · Appointed 9 Feb 2018 · Until 25 Mar 2021
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Lanebridge Investment Management Limited (no longer appointed)
FRN 550909 · Appointed 13 May 2011 · Until 12 Jun 2024
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (570)SMF9 Chair of the Governing Body
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controlled function added: (569)[FCA CF] Material risk taker
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controlled function added: (568)Director of firm who is not a certification employee or a SMF manager
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controlled function added: (567)[FCA CF] Manager of certification employee
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controlled function added: (566)[FCA CF] Client dealing
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controlled function added: (565)[FCA CF] Material risk taker
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controlled function added: (564)[FCA CF] Manager of certification employee
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controlled function added: (563)[FCA CF] Client dealing
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controlled function added: (562)SMF1 Chief Executive
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controlled function added: (561)[FCA CF] Material risk taker