N. M. ROTHSCHILD & SONS LIMITED

Date authorised
1 April 2013
Companies House
00925279
Last scraped
3 weeks ago
Watch for changes

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 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
    • · 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 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
    • · 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.

  • Buy-to-Let Start Date

  • Buy-to-Let End Date

  • Buy-to-Let Status

  • 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
    • · 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.

  • Lukasz Adam Walkowski

    IRN LAW01093

    • (32)CF30 Customer (25 Oct 2016 to 8 Dec 2019)
  • Lukasz Adamczyk

    IRN LXA01187

    • (258)CF30 Customer (5 Aug 2008 to 6 Mar 2016)
  • Luke Buxton

    IRN LXB00376

    • (1461)[FCA CF] Client dealing (4 Jan 2022 to 29 Jul 2022)
  • Luke Francis Poloniecki

    IRN LFP01006

    • (255)CF30 Customer (18 Nov 2013 to 6 Mar 2016)
  • Lyn Danaher

    IRN LXD01167

    • (2394)CF30 Customer (1 Nov 2007 to 31 Mar 2008)
    • (2395)CF21 Investment Adviser (24 Jul 2003 to 31 Oct 2007)
  • Lynn Drummond

    IRN LXD01075

    • (940)CF30 Customer (1 Nov 2007 to 30 May 2010)
    • (941)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Lynn Hazelwood

    IRN LXH01119

    • (197)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1996)CF30 Customer (26 Jul 2019 to 8 Dec 2019)
  • MOHAMMED HISHAAM JUNAIDEEN

    IRN MHJ01030

    • (80)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1712)CF30 Customer (21 Oct 2013 to 6 Mar 2016)
  • Mads Juel Sorensen

    IRN MXS14367

    • (1051)CF30 Customer (27 Apr 2019 to 8 Dec 2019)
  • Magdalena Kamecka

    IRN MXK01836

    • (216)CF30 Customer (15 Apr 2010 to 22 Jun 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: (540)[FCA CF] Client dealing

  2. controlled function added: (539)[FCA CF] Client dealing

  3. controlled function added: (538)[FCA CF] Client dealing

  4. controlled function added: (537)[FCA CF] Client dealing

  5. controlled function added: (536)[FCA CF] Manager of certification employee

  6. controlled function added: (535)[FCA CF] Client dealing

  7. controlled function added: (534)[FCA CF] Client dealing

  8. controlled function added: (533)[FCA CF] Client dealing

  9. controlled function added: (532)[FCA CF] Client dealing

  10. controlled function added: (531)[FCA CF] Client dealing

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