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.

  • Robert Ian Knight

    IRN RIK01009

    • (1799)CF30 Customer (8 Aug 2008 to 6 May 2011)
  • Robert James Dolinar

    IRN RJD01241

    • (17)CF30 Customer (26 May 2017 to 3 Oct 2018)
  • Robert James Dryden Pardy

    IRN RJP01260

    • (1970)CF30 Customer (6 Mar 2009 to 24 May 2010)
  • Robert James Lyne

    IRN RJL01230

    • (1381)CF30 Customer (17 Aug 2015 to 6 Mar 2016)
  • Robert John Hodgkinson

    IRN RJH01411

    • (269)CF30 Customer (18 Sep 2008 to 27 Nov 2009)
  • Robert Jonathan Sher

    IRN RXS00845

    • (1322)[FCA CF] Client dealing (2 Mar 2023 to 14 Nov 2023)
  • Robert Mark Leitao

    IRN RML01041

    • (564)[FCA CF] Manager of certification employee (since 31 Dec 2020)
    • (563)[FCA CF] Client dealing (since 31 Dec 2020)
    • (562)SMF1 Chief Executive (since 9 Dec 2019)
    • (2312)CF3 Chief Executive (11 Jan 2019 to 8 Dec 2019)
    • (2309)CF30 Customer (19 Sep 2016 to 8 Dec 2019)
    • (2310)CF29 Significant management (18 Mar 2010 to 6 Mar 2016)
    • (2311)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Robert Matthew Wood

    IRN RMW01141

    • (288)CF30 Customer (1 Nov 2007 to 30 Sep 2008)
    • (289)CF21 Investment Adviser (29 Oct 2007 to 31 Oct 2007)
  • Robert McFadyen

    IRN RXM02809

    • (46)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1362)CF30 Customer (25 Jul 2019 to 8 Dec 2019)
  • Robert Patrick Laier

    IRN RPL01014

    • (808)CF30 Customer (1 Nov 2007 to 31 Mar 2012)
    • (809)CF23 Corporate Finance Adviser (21 Oct 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: (370)[FCA CF] Client dealing

  2. controlled function added: (369)[FCA CF] Client dealing

  3. controlled function added: (368)[FCA CF] Client dealing

  4. controlled function added: (367)[FCA CF] Client dealing

  5. controlled function added: (366)[FCA CF] Client dealing

  6. controlled function added: (365)[FCA CF] Client dealing

  7. controlled function added: (364)[FCA CF] Client dealing

  8. controlled function added: (363)[FCA CF] Client dealing

  9. controlled function added: (362)[FCA CF] Client dealing

  10. controlled function added: (361)[FCA CF] Client dealing

Show more