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.

  • Rizk Nathan Koussa

    IRN RNK01017

    • (20)CF30 Customer (17 May 2017 to 30 Jun 2019)
  • Robert Abbott

    IRN RXA01337

    • (454)CF30 Customer (1 Nov 2007 to 28 Jul 2008)
    • (455)CF23 Corporate Finance Adviser (20 Jan 2005 to 31 Oct 2007)
  • Robert Ashley Auerbach

    IRN RAA01038

    • (917)CF21 Investment Adviser (1 Dec 2001 to 31 Jan 2003)
  • Robert Aston Cole

    IRN RAC01303

    • (1361)[FCA CF] Client dealing (31 Dec 2020 to 31 Jan 2022)
    • (1360)CF30 Customer (11 Sep 2019 to 8 Dec 2019)
  • Robert Clive Barnes

    IRN RCB01178

    • (122)[FCA CF] Client dealing (since 31 Dec 2020)
    • (2025)CF30 Customer (21 Jan 2008 to 6 Mar 2016)
  • Robert Douglas King

    IRN RDK01040

    • (1613)CF30 Customer (1 Nov 2007 to 19 Sep 2011)
    • (1614)CF23 Corporate Finance Adviser (11 Jul 2007 to 11 Jul 2007)
  • Robert Frederic Dunnett

    IRN RFD01029

    • (2090)[FCA CF] Client dealing (31 Dec 2020 to 1 Dec 2022)
    • (2089)CF30 Customer (27 Dec 2007 to 6 Mar 2016)
  • Robert Gerard Waddingham

    IRN RGW01063

    • (154)[FCA CF] Manager of certification employee (since 16 May 2022)
    • (153)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1159)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1160)CF23 Corporate Finance Adviser (20 Aug 2002 to 31 Oct 2007)
  • Robert Guy William Leonard

    IRN RXL00071

    • (527)[FCA CF] Client dealing (since 10 Apr 2025)
  • Robert Hessel Rutten

    IRN RHR01039

    • (107)[FCA CF] Client dealing (since 10 Feb 2026)
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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: (390)[FCA CF] Client dealing

  2. controlled function added: (389)[FCA CF] Client dealing

  3. controlled function added: (388)[FCA CF] Client dealing

  4. controlled function added: (387)[FCA CF] Client dealing

  5. controlled function added: (386)[FCA CF] Client dealing

  6. controlled function added: (385)[FCA CF] Client dealing

  7. controlled function added: (384)[FCA CF] Client dealing

  8. controlled function added: (383)[FCA CF] Client dealing

  9. controlled function added: (382)[FCA CF] Client dealing

  10. controlled function added: (381)[FCA CF] Client dealing

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