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.

  • Sabrina Kaur Bhalla

    IRN SXB14445

    • (2208)[FCA CF] Client dealing (31 Dec 2020 to 8 Apr 2022)
    • (2207)CF30 Customer (7 May 2019 to 8 Dec 2019)
  • Sacha Charles Maarek

    IRN SXM04948

    • (243)[FCA CF] Client dealing (since 7 Apr 2026)
  • Sacha Oshry

    IRN SXO01286

    • (1795)CF30 Customer (3 Oct 2011 to 6 Mar 2016)
  • Safinaz Zakaria

    IRN SXZ01097

    • (425)CF30 Customer (23 May 2011 to 31 Dec 2012)
  • Sakari Saarela

    IRN SXS22135

    • (2052)[FCA CF] Client dealing (31 Dec 2020 to 28 Jun 2021)
    • (2051)CF30 Customer (17 Oct 2019 to 8 Dec 2019)
  • Salma Rizkia Ichwan

    IRN SXI00084

    • (1424)[FCA CF] Client dealing (28 Mar 2022 to 14 Jun 2023)
  • Sam Alexander Senchal

    IRN SAS01299

    • (1089)CF30 Customer (10 Dec 2009 to 10 Mar 2011)
  • Sam Drewery

    IRN SXD14849

    • (551)[FCA CF] Client dealing (since 31 Dec 2020)
    • (2165)CF30 Customer (13 May 2019 to 8 Dec 2019)
  • Samantha Jane Elizabeth Gough

    IRN SJH01579

    • (50)[FCA CF] Manager of certification employee (since 16 May 2022)
    • (49)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1383)CF30 Customer (11 Aug 2015 to 6 Mar 2016)
  • Samantha Jane Hamilton

    IRN SJH01340

    • (542)CF23 Corporate Finance Adviser (2 May 2003 to 3 Sep 2004)
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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: (330)[FCA CF] Client dealing

  2. controlled function added: (329)[FCA CF] Client dealing

  3. controlled function added: (328)[FCA CF] Client dealing

  4. controlled function added: (327)[FCA CF] Client dealing

  5. controlled function added: (326)[FCA CF] Client dealing

  6. controlled function added: (325)[FCA CF] Client dealing

  7. controlled function added: (324)[FCA CF] Client dealing

  8. controlled function added: (323)[FCA CF] Client dealing

  9. controlled function added: (322)[FCA CF] Client dealing

  10. controlled function added: (321)[FCA CF] Client dealing

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