N. M. ROTHSCHILD & SONS LIMITED

Date authorised
1 April 2013
Companies House
00925279
Last scraped
2 weeks 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.

  • Samuel Offer

    IRN SXO01322

    • (1703)CF30 Customer (13 May 2017 to 9 Nov 2017)
  • Samuel Ogburn III

    IRN SXO76272

    • (2012)[FCA CF] Client dealing (31 Dec 2020 to 31 Jan 2022)
  • Samuel Oluwadamilola Otuyalo

    IRN SXO00129

    • (1696)[FCA CF] Client dealing (23 Aug 2021 to 21 Jun 2023)
  • Samuel Redding

    IRN SXR00957

    • (316)[FCA CF] Client dealing (since 1 Jan 2026)
  • Samuel Thomas Gormly

    IRN STG01050

    • (18)[FCA CF] Manager of certification employee (since 13 Oct 2021)
    • (17)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1224)CF30 Customer (30 Sep 2017 to 8 Dec 2019)
  • Samuel Zhen Huang

    IRN SXH09473

    • (1533)[FCA CF] Client dealing (31 Dec 2020 to 30 Sep 2022)
    • (1532)CF30 Customer (17 Dec 2018 to 8 Dec 2019)
  • Sandeep Dhillion

    IRN SXD01661

    • (248)CF30 Customer (16 Sep 2008 to 7 Jul 2009)
  • Sander Lammers

    IRN SJL01281

    • (1860)CF30 Customer (20 May 2010 to 24 Jul 2015)
  • Sandra Liyanage

    IRN SXL01205

    • (818)CF30 Customer (1 Nov 2007 to 30 Jun 2009)
    • (819)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Sandra Nait-Amer

    IRN SXN01246

    • (119)[FCA CF] Client dealing (since 31 Dec 2020)
    • (2005)CF30 Customer (28 Mar 2008 to 6 Mar 2016)
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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: (350)[FCA CF] Manager of certification employee

  2. controlled function added: (349)[FCA CF] Client dealing

  3. controlled function added: (348)[FCA CF] Client dealing

  4. controlled function added: (347)[FCA CF] Client dealing

  5. controlled function added: (346)[FCA CF] Client dealing

  6. controlled function added: (345)[FCA CF] Client dealing

  7. controlled function added: (344)[FCA CF] Client dealing

  8. controlled function added: (343)[FCA CF] Client dealing

  9. controlled function added: (342)[FCA CF] Client dealing

  10. controlled function added: (341)[FCA CF] Client dealing

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