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.

  • Jonathan Josey

    IRN JXJ01094

    • CF30 Customer (1 Nov 2007 to 17 Aug 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Jonathan Lancelot Eddis

    IRN JLE01009

    • [FCA CF] Client dealing (10 Feb 2025 to 31 Jan 2026)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 26 Mar 2008)
  • Jonathan Mitchell Skeggs

    IRN JXS17345

    • [FCA CF] Client dealing (31 Dec 2020 to 12 Jul 2024)
    • CF30 Customer (18 Jul 2019 to 8 Dec 2019)
  • Jonathan Oliver Darcy Orders

    IRN JOO00003

    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2002)
  • Jonathan Paine

    IRN JXP01236

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Jonathan Penkin

    IRN JMP01094

    • CF21 Investment Adviser (1 Dec 2001 to 6 Jul 2006)
  • Jonathan Robert Warburton

    IRN JRW01120

    • CF30 Customer (4 Nov 2008 to 30 Jun 2012)
  • Jonathan Roger Finn

    IRN JRF01037

    • [FCA CF] Client dealing (since 31 Dec 2020)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Jonathan Slaughter

    IRN JRS01250

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF23 Corporate Finance Adviser (23 Jan 2007 to 31 Oct 2007)
  • Jonathan Westcott

    IRN JXW01309

    • [FCA CF] Material risk taker (since 9 Oct 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 20 Jun 2023)
    • SMF3 Executive Director (9 Dec 2019 to 21 Sep 2023)
    • CF11 Money Laundering Reporting (19 Sep 2016 to 8 Dec 2019)
    • SMF16 Compliance Oversight (7 Mar 2016 to 19 Sep 2016)
    • CF1 Director (1 Dec 2001 to 13 Dec 2004)
    • CF10 Compliance Oversight (1 Dec 2001 to 6 Mar 2016)
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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.

No changes recorded yet.