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.

  • Ravi Narayan Mulchandani

    IRN RXM00520

    • (492)[FCA CF] Client dealing (since 31 Aug 2021)
  • Ravi Nikhil Shah

    IRN RNS01063

    • (67)CF30 Customer (30 Apr 2015 to 6 Mar 2016)
  • Ravinder Kumar Gupta

    IRN RKG01016

    • (193)[FCA CF] Client dealing (since 31 Dec 2020)
    • (194)[FCA CF] Manager of certification employee (since 31 Dec 2020)
    • (1987)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1988)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Rebecca Anne Robinson

    IRN RAR01085

    • (595)CF23 Corporate Finance Adviser (21 May 2002 to 3 Jun 2006)
  • Rebecca Louise Munns

    IRN RXM00298

    • (1894)[FCA CF] Client dealing (31 Dec 2020 to 24 Apr 2024)
  • Rebecca Marie Corker

    IRN RMC01172

    • (63)[FCA CF] Client dealing (since 25 Jul 2022)
  • Rebecca Smith

    IRN RXS01591

    • (518)CF21 Investment Adviser (11 Aug 2003 to 7 Jul 2006)
  • Rebekah Pettersson

    IRN RXP01203

    • (853)CF21 Investment Adviser (1 Dec 2001 to 2 May 2003)
  • Reece Andrew Radford

    IRN RAR01119

    • (2109)[FCA CF] Client dealing (31 Dec 2020 to 31 Aug 2021)
    • (2107)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (2108)CF21 Investment Adviser (4 Sep 2007 to 31 Oct 2007)
  • Reginald Jon Mills

    IRN RJM01345

    • (1567)CF23 Corporate Finance Adviser (30 Sep 2004 to 12 Jul 2007)
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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: (380)[FCA CF] Client dealing

  2. controlled function added: (379)[FCA CF] Client dealing

  3. controlled function added: (378)[FCA CF] Client dealing

  4. controlled function added: (377)[FCA CF] Client dealing

  5. controlled function added: (376)[FCA CF] Client dealing

  6. controlled function added: (375)[FCA CF] Client dealing

  7. controlled function added: (374)[FCA CF] Client dealing

  8. controlled function added: (373)[FCA CF] Client dealing

  9. controlled function added: (372)[FCA CF] Client dealing

  10. controlled function added: (371)[FCA CF] Client dealing

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