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.

  • Lubov Dimitrova Kotzeva

    IRN LDK01007

    • (1890)[FCA CF] Client dealing (31 Dec 2020 to 6 Oct 2021)
    • (1888)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1889)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Luca Davoli

    IRN LXD00423

    • (311)[FCA CF] Client dealing (since 1 May 2025)
  • Lucas Canizares Alonso

    IRN LXC00569

    • (368)[FCA CF] Client dealing (since 8 Apr 2025)
  • Lucy Alexandra Wylde

    IRN LAW01076

    • (1876)CF30 Customer (16 Jan 2014 to 6 Mar 2016)
  • Lucy Elizabeth D'cruz

    IRN LES01051

    • (1794)[FCA CF] Manager of certification employee (31 Dec 2020 to 9 Apr 2021)
    • (1793)[FCA CF] Client dealing (31 Dec 2020 to 9 Apr 2021)
    • (1792)CF30 Customer (24 Aug 2011 to 6 Mar 2016)
  • Lucy Kate Hoppen

    IRN LKH01007

    • (837)CF21 Investment Adviser (1 Dec 2001 to 30 Apr 2003)
  • Lucy Marie Harper

    IRN LXH00621

    • (313)[FCA CF] Client dealing (since 29 Apr 2025)
  • Luigi Giangrande

    IRN LXG00188

    • (478)[FCA CF] Client dealing (since 10 Oct 2024)
  • Luis Maria D'Almeida

    IRN LMD01015

    • (562)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2005)
  • Lukas Petrikas

    IRN LXP01278

    • (254)CF30 Customer (17 Sep 2008 to 31 Aug 2010)
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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: (220)[FCA CF] Client dealing

  2. controlled function added: (219)[FCA CF] Manager of certification employee

  3. controlled function added: (218)[FCA CF] Client dealing

  4. controlled function added: (217)[FCA CF] Client dealing

  5. controlled function added: (216)[FCA CF] Client dealing

  6. controlled function added: (215)[FCA CF] Client dealing

  7. controlled function added: (214)[FCA CF] Manager of certification employee

  8. controlled function added: (213)[FCA CF] Client dealing

  9. controlled function added: (212)[FCA CF] Client dealing

  10. controlled function added: (211)[FCA CF] Manager of certification employee

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