N. M. ROTHSCHILD & SONS LIMITED
Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
New CourtSt Swithin's LaneLondonEC4N 8ALUNITED KINGDOM- Phone
- +4402072805000
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Complaints Contact
New CourtSt Swithin's LaneLondonEC4N 8ALUNITED KINGDOM- Phone
- +4402072805000
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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Investment Advice (no pensions)
For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
Show 2 limitations Hide 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.
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Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
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Arranges Investments
For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
Show 1 limitation Hide limitations
- · 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.
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Buy-to-Let Start Date
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Buy-to-Let End Date
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Buy-to-Let Status
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Investment Setup
For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant
Show 1 limitation Hide limitations
- · 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.
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Marie-Caroline Suzanne Francis Ardant Bernard
IRN MSA01067
- (479)CF30 Customer (4 Feb 2015 to 6 Mar 2016)
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Marine Charlotte Epailly
IRN MCE01034
- (1931)CF30 Customer (26 Jan 2010 to 5 Aug 2011)
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Mario Berti
IRN MXB01605
- (188)CF30 Customer (1 Nov 2007 to 23 Apr 2010)
- (189)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
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Marion Andrea Guiraud
IRN MXG08134
- (1)[FCA CF] Client dealing (since 31 Dec 2020)
- (1560)CF30 Customer (9 Nov 2018 to 8 Dec 2019)
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Marion Theresa Murdoch
IRN MTM01018
- (657)CF21 Investment Adviser (1 Dec 2001 to 16 Jun 2006)
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Mark Alexander Hill
IRN MAH01174
- (965)CF30 Customer (1 Nov 2007 to 31 Mar 2012)
- (966)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
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Mark Blower
IRN MXB01744
- (1176)CF21 Investment Adviser (14 Aug 2002 to 9 Apr 2004)
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Mark Christopher Greaves
IRN MCG01021
- (683)CF2 Non Executive Director (1 Dec 2001 to 31 Dec 2002)
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Mark Christopher Howden
IRN MCH01107
- (2176)CF30 Customer (1 Nov 2007 to 7 Jan 2011)
- (2177)CF23 Corporate Finance Adviser (4 Dec 2006 to 31 Oct 2007)
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Mark Daniel Thomas
IRN MXT13913
- (2255)[FCA CF] Client dealing (31 Dec 2020 to 28 May 2021)
- (2254)CF30 Customer (23 Apr 2019 to 8 Dec 2019)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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Rothschild & Co Europe Partnership (no longer appointed)
FRN 801234 · Appointed 9 Feb 2018 · Until 25 Mar 2021
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Lanebridge Investment Management Limited (no longer appointed)
FRN 550909 · Appointed 13 May 2011 · Until 12 Jun 2024
Recent activity
Updates to this firm's record on the FCA register.
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controlled function added: (560)[FCA CF] Client dealing
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controlled function added: (559)SMF3 Executive Director
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controlled function added: (558)[FCA CF] Client dealing
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controlled function added: (557)[FCA CF] Client dealing
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controlled function added: (556)[FCA CF] Client dealing
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controlled function added: (555)[FCA CF] Client dealing
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controlled function added: (554)[FCA CF] Client dealing
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controlled function added: (553)[FCA CF] Client dealing
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controlled function added: (552)[FCA CF] Client dealing
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controlled function added: (551)[FCA CF] Client dealing