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.

  • Matthew James Edward Holdom

    IRN MJH01709

    • (2229)CF30 Customer (14 Apr 2018 to 9 Jan 2019)
  • Matthew James Legg

    IRN MJL01283

    • (311)CF30 Customer (1 Nov 2007 to 11 Aug 2011)
    • (312)CF21 Investment Adviser (12 Oct 2007 to 31 Oct 2007)
  • Matthew James Smith

    IRN MJS01441

    • (2313)CF30 Customer (1 Nov 2007 to 29 Oct 2010)
    • (2315)CF21 Investment Adviser (1 Nov 2005 to 31 Oct 2007)
    • (2314)CF23 Corporate Finance Adviser (1 Nov 2005 to 31 Oct 2007)
  • Matthew John Reynolds

    IRN MJR01366

    • (253)CF30 Customer (8 Sep 2008 to 11 Aug 2009)
  • Matthew John Sumner Marshall

    IRN MJM01558

    • (1277)CF30 Customer (31 Jul 2019 to 8 Dec 2019)
  • Matthew Joseph Eatock

    IRN MJE01123

    • (629)CF30 Customer (1 Nov 2007 to 31 May 2013)
    • (630)CF23 Corporate Finance Adviser (5 Jan 2006 to 31 Oct 2007)
  • Matthew Jowett

    IRN MXJ01274

    • (432)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (433)CF23 Corporate Finance Adviser (2 Sep 2005 to 31 Oct 2007)
  • Matthew Naylor

    IRN MDN01053

    • (1593)[FCA CF] Client dealing (31 Dec 2020 to 16 Jul 2021)
    • (1592)CF30 Customer (23 Jul 2018 to 8 Dec 2019)
  • Matthew Patrick Dillon

    IRN MXD00763

    • (1119)[FCA CF] Client dealing (18 Mar 2024 to 31 Jan 2025)
  • Matthew Peter Caffrey

    IRN MPC01083

    • (1847)CF21 Investment Adviser (28 Mar 2003 to 16 Aug 2005)
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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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