N. M. ROTHSCHILD & SONS LIMITED

Open as Markdown
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)

  • Authorised to Operate

  • 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)

  • 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)

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Marie-Caroline Suzanne Francis Ardant Bernard

    IRN MSA01067

    • (479)CF30 Customer (4 Feb 2015 to 6 Mar 2016)
  • Marine Charlotte Epailly

    IRN MCE01034

    • (1931)CF30 Customer (26 Jan 2010 to 5 Aug 2011)
  • 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)
  • Marion Andrea Guiraud

    IRN MXG08134

    • (1)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1560)CF30 Customer (9 Nov 2018 to 8 Dec 2019)
  • Marion Theresa Murdoch

    IRN MTM01018

    • (657)CF21 Investment Adviser (1 Dec 2001 to 16 Jun 2006)
  • 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)
  • Mark Blower

    IRN MXB01744

    • (1176)CF21 Investment Adviser (14 Aug 2002 to 9 Apr 2004)
  • Mark Christopher Greaves

    IRN MCG01021

    • (683)CF2 Non Executive Director (1 Dec 2001 to 31 Dec 2002)
  • 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)
  • 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)
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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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