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.

  • Rory Cameron-Mowat

    IRN RXC01997

    • (67)[FCA CF] Manager of certification employee (since 16 May 2022)
    • (66)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1645)CF30 Customer (14 Oct 2016 to 8 Dec 2019)
  • Rosalyn Anne Harper

    IRN RAW01116

    • (2085)CF1 Director (AR) (6 Jan 2016 to 11 Jun 2024)
    • (2082)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (2084)CF21 Investment Adviser (19 Sep 2002 to 21 Dec 2006)
    • (2083)CF22 Investment Adviser (Trainee) (12 Mar 2002 to 19 Sep 2002)
  • Rosanna Kate Colthorpe

    IRN RKC01041

    • (39)CF30 Customer (6 Oct 2016 to 4 Aug 2017)
  • Rossana Sgamba

    IRN RXS01915

    • (332)CF30 Customer (1 Nov 2007 to 28 Jun 2010)
    • (333)CF21 Investment Adviser (15 Aug 2007 to 31 Oct 2007)
  • Rossella Pasculli

    IRN RXP47128

    • (2026)[FCA CF] Client dealing (7 Aug 2023 to 2 Oct 2024)
  • Rowern Wong

    IRN RXW01641

    • (127)CF30 Customer (19 Jun 2012 to 17 Jul 2014)
  • Ruben Lee

    IRN RXL00472

    • (294)[FCA CF] Client dealing (since 15 Jul 2025)
  • Ruben Moses

    IRN RXM02740

    • (57)CF30 Customer (23 Jun 2015 to 6 Mar 2016)
  • Rupert Garth Flannery

    IRN RGF01029

    • (1652)CF21 Investment Adviser (1 Dec 2001 to 11 Jul 2003)
  • Rupert Howard

    IRN RSH01089

    • (2144)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (2145)CF23 Corporate Finance Adviser (18 Oct 2006 to 31 Oct 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: (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

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