N. M. ROTHSCHILD & SONS LIMITED

Date authorised
1 April 2013
Companies House
00925279
Last scraped
3 weeks ago
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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 William Dale

    IRN JWD01062

    • [FCA CF] Client dealing (31 Dec 2020 to 30 Jan 2026)
    • [FCA CF] Manager of certification employee (31 Dec 2020 to 30 Jan 2026)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF23 Corporate Finance Adviser (17 Nov 2006 to 31 Oct 2007)
  • Jonathon David Mitchell

    IRN JDM01277

    • [FCA CF] Client dealing (since 6 Nov 2023)
    • [FCA CF] Manager of certification employee (since 6 Nov 2023)
    • [FCA CF] Client dealing (31 Dec 2020 to 31 May 2022)
    • CF30 Customer (9 May 2017 to 8 Dec 2019)
  • Jordan Clarke

    IRN JXC03414

    • [FCA CF] Client dealing (since 7 Jul 2025)
  • Jordan Lee

    IRN JXL00677

    • [FCA CF] Client dealing (6 Jun 2023 to 24 May 2024)
  • Jorge Arturo Mella Ortori

    IRN JXM13296

    • [FCA CF] Client dealing (15 Aug 2023 to 27 Dec 2024)
  • Jorge Delclaux

    IRN JXD01263

    • CF21 Investment Adviser (1 Dec 2001 to 14 Jul 2004)
  • Jorge Garcia-Bango Roig

    IRN JXG00432

    • [FCA CF] Client dealing (since 2 Mar 2023)
  • Josch Benedikt Kamloth

    IRN JXK02211

    • CF30 Customer (9 May 2018 to 21 Jun 2019)
  • Jose Maria Benito Sanz

    IRN JMB01534

    • [FCA CF] Manager of certification employee (since 15 Nov 2023)
    • [FCA CF] Client dealing (since 15 Nov 2023)
  • Josef Lefkovitz

    IRN JXL02070

    • CF30 Customer (21 May 2015 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.

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