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.

  • Karl Viktor Torstensson

    IRN KVT01011

    • (43)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1351)[FCA CF] Manager of certification employee (31 Dec 2020 to 26 May 2022)
    • (1350)CF30 Customer (14 Oct 2016 to 8 Dec 2019)
  • Karthik Sankaran

    IRN KXS01703

    • (206)CF30 Customer (18 Jun 2010 to 25 Aug 2013)
  • Katharine Jane Moran

    IRN KJH01123

    • (1978)CF30 Customer (9 Jul 2008 to 13 Mar 2011)
  • Katherine Ellen Goligher

    IRN KXG00098

    • (522)[FCA CF] Client dealing (since 31 Dec 2020)
  • Katherine Jory

    IRN KEJ01029

    • (1678)CF30 Customer (11 May 2015 to 6 Mar 2016)
  • Katherine Sarah Lomax

    IRN KSL01015

    • (315)CF30 Customer (1 Nov 2007 to 14 Jan 2011)
    • (316)CF21 Investment Adviser (14 Sep 2007 to 31 Oct 2007)
  • Kathleen Rose Farrell

    IRN KRF01015

    • (30)[FCA CF] Manager of certification employee (since 20 Apr 2021)
    • (29)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1319)CF30 Customer (6 Oct 2016 to 8 Dec 2019)
  • Katia Kalli Pourgalis

    IRN KKP00011

    • (2388)CF30 Customer (19 Jun 2012 to 19 Jun 2012)
  • Katrina Lesleigh Sent

    IRN KLS01042

    • (441)CF30 Customer (1 Nov 2007 to 16 Dec 2011)
    • (442)CF21 Investment Adviser (9 Mar 2005 to 31 Oct 2007)
  • Katy Elizabeth Krauts

    IRN KXK00551

    • (264)[FCA CF] Client dealing (since 8 Jan 2026)
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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: (520)[FCA CF] Client dealing

  2. controlled function added: (519)[FCA CF] Client dealing

  3. controlled function added: (518)[FCA CF] Client dealing

  4. controlled function added: (517)[FCA CF] Client dealing

  5. controlled function added: (516)[FCA CF] Client dealing

  6. controlled function added: (515)[FCA CF] Manager of certification employee

  7. controlled function added: (514)[FCA CF] Client dealing

  8. controlled function added: (513)[FCA CF] Client dealing

  9. controlled function added: (512)[FCA CF] Client dealing

  10. controlled function added: (511)[FCA CF] Manager of certification employee

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