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.

  • Nikita Jain

    IRN NXJ01287

    • (1379)[FCA CF] Client dealing (31 Dec 2020 to 10 May 2021)
    • (1378)CF30 Customer (18 Jan 2019 to 8 Dec 2019)
  • Nikita Joshi

    IRN NXJ00094

    • (1683)[FCA CF] Client dealing (31 Aug 2021 to 31 Jul 2024)
  • Nikolay Sachev Mladenov

    IRN NSM01037

    • (423)CF30 Customer (1 Nov 2007 to 3 Mar 2009)
    • (424)CF23 Corporate Finance Adviser (15 Sep 2005 to 31 Oct 2007)
  • Nilesh Karia

    IRN NXK00245

    • (1283)[FCA CF] Client dealing (3 Aug 2023 to 31 Mar 2024)
  • Nilofar Niazi

    IRN NXN01038

    • (1027)CF21 Investment Adviser (1 Dec 2001 to 3 Sep 2003)
  • Nils Hellmer

    IRN NXH01470

    • (1798)CF30 Customer (22 Mar 2013 to 9 Aug 2013)
  • Nils Lukas Toftera

    IRN NLT01018

    • (224)CF30 Customer (30 Nov 2009 to 6 Mar 2016)
  • Nils Viggo Bjorklund

    IRN NXB00463

    • (1240)[FCA CF] Client dealing (9 Aug 2023 to 18 Oct 2023)
  • Nima Sahba

    IRN NXS00299

    • (1651)[FCA CF] Client dealing (4 May 2023 to 27 Jun 2025)
  • Nina Ning Hang Chin

    IRN NXC00498

    • (285)[FCA CF] Client dealing (since 7 Oct 2025)
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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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