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.

  • Roger Owen Davey

    IRN ROD01008

    • (923)CF30 Customer (1 Nov 2007 to 31 Dec 2010)
    • (924)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Roger Samuel Ader

    IRN RSA01031

    • (219)[FCA CF] Manager of certification employee (since 31 Dec 2020)
    • (218)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1552)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1553)CF23 Corporate Finance Adviser (30 Nov 2006 to 31 Oct 2007)
  • Rohit Abraham

    IRN RXA00575

    • (1480)[FCA CF] Client dealing (3 Jul 2025 to 5 Mar 2026)
  • Rohit Nigam

    IRN RXN01211

    • (1942)[FCA CF] Client dealing (31 Dec 2020 to 24 Dec 2021)
    • (1941)CF30 Customer (12 Aug 2015 to 6 Mar 2016)
  • Roi Elad

    IRN RXE01247

    • (180)CF30 Customer (31 May 2011 to 28 Jun 2013)
  • Roland Kenneth Houchin

    IRN RKH01050

    • (418)CF23 Corporate Finance Adviser (26 Jul 2005 to 14 Jul 2006)
  • Roland Nicklaus

    IRN RXN01062

    • (841)CF30 Customer (1 Nov 2007 to 9 Sep 2009)
    • (842)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Roland Thomas Ashton Oakshett

    IRN RTO01007

    • (526)CF30 Customer (1 Nov 2007 to 29 May 2015)
    • (527)CF23 Corporate Finance Adviser (11 Sep 2003 to 31 Oct 2007)
  • Rolf Arnold

    IRN RXA01700

    • (140)CF30 Customer (18 Jun 2012 to 6 Mar 2016)
  • Rory Alexander Duncan Macleod

    IRN RXM00524

    • (1656)[FCA CF] Client dealing (25 Jul 2022 to 5 Mar 2024)
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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: (360)[FCA CF] Manager of certification employee

  2. controlled function added: (359)[FCA CF] Client dealing

  3. controlled function added: (358)[FCA CF] Client dealing

  4. controlled function added: (357)[FCA CF] Client dealing

  5. controlled function added: (356)[FCA CF] Client dealing

  6. controlled function added: (355)[FCA CF] Client dealing

  7. controlled function added: (354)[FCA CF] Client dealing

  8. controlled function added: (353)[FCA CF] Client dealing

  9. controlled function added: (352)[FCA CF] Client dealing

  10. controlled function added: (351)[FCA CF] Client dealing

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