N. M. ROTHSCHILD & SONS LIMITED

Date authorised
1 April 2013
Companies House
00925279
Last scraped
4 days 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.

  • Khaled Issam Sheikh Amin

    IRN KXS00173

    • (1035)[FCA CF] Client dealing (31 Dec 2020 to 8 Jan 2021)
  • Kheng Wah Mak

    IRN KWM01025

    • (176)CF30 Customer (4 Jul 2011 to 31 Jan 2014)
  • Khodor Mattar

    IRN KXM01194

    • (871)CF30 Customer (1 Nov 2007 to 31 Mar 2012)
    • (872)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Kieron Banerjee

    IRN KXB11835

    • (555)[FCA CF] Client dealing (since 4 Mar 2022)
  • Kieron Brown

    IRN KXB00707

    • (280)[FCA CF] Client dealing (since 21 Oct 2025)
  • Kirstin Gilbert

    IRN KXG00097

    • (523)[FCA CF] Client dealing (since 31 Dec 2020)
  • Kisan Sockalingam

    IRN KXS00174

    • (1827)[FCA CF] Client dealing (31 Dec 2020 to 5 Jul 2021)
  • Kishan Ashwin Upadhyay

    IRN KXU00015

    • (482)[FCA CF] Client dealing (since 20 Oct 2025)
  • Kiyan Djalai

    IRN KXD36222

    • (541)[FCA CF] Client dealing (since 31 Dec 2020)
  • Klaus Georg Schmitz

    IRN KGS01036

    • (2023)CF30 Customer (1 Nov 2007 to 31 Aug 2008)
    • (2024)CF21 Investment Adviser (28 Sep 2007 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: (240)[FCA CF] Client dealing

  2. controlled function added: (239)[FCA CF] Client dealing

  3. controlled function added: (238)[FCA CF] Client dealing

  4. controlled function added: (237)[FCA CF] Client dealing

  5. controlled function added: (236)[FCA CF] Client dealing

  6. controlled function added: (235)[FCA CF] Client dealing

  7. controlled function added: (234)[FCA CF] Client dealing

  8. controlled function added: (233)[FCA CF] Client dealing

  9. controlled function added: (232)[FCA CF] Client dealing

  10. controlled function added: (231)[FCA CF] Client dealing

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