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.

  • Julia Heintel

    IRN JVH01036

    • (1446)[FCA CF] Client dealing (1 Dec 2022 to 11 Apr 2024)
  • Julia Kathryn Anne Ashworth

    IRN JKA01008

    • (2410)CF30 Customer (1 Nov 2007 to 29 Jan 2010)
    • (2411)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Julia Nelson

    IRN JXN01260

    • (2072)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (2073)CF21 Investment Adviser (17 Apr 2007 to 31 Oct 2007)
  • Julia Sanchez-Asiain Ulloa

    IRN JXS03370

    • (55)CF30 Customer (3 Jul 2015 to 6 Mar 2016)
  • Julia Thomas

    IRN JXT01206

    • (768)CF21 Investment Adviser (1 Dec 2001 to 12 Jan 2007)
  • Julian Alston Addison

    IRN JAA01060

    • (844)CF23 Corporate Finance Adviser (1 Dec 2001 to 17 Sep 2004)
  • Julian Charles Hudson

    IRN JCH01148

    • (152)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1497)CF30 Customer (19 Sep 2016 to 8 Dec 2019)
    • (1498)CF23 Corporate Finance Adviser (18 Aug 2003 to 31 Oct 2007)
  • Julian Edward De Vine Plumstead

    IRN JEP01066

    • (890)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (891)CF21 Investment Adviser (7 Oct 2005 to 31 Oct 2007)
  • Julian Nicholas Klass

    IRN JNK01007

    • (729)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (730)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Julien Aristide Moller

    IRN JAM01463

    • (50)CF30 Customer (20 Oct 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.

  1. trading name added: N M Rothschild & Sons Ltd

  2. permission removed: CBTL Effective Date

  3. permission removed: CBTL End Date

  4. permission removed: CBTL Status

  5. controlled function added: (576)SMF3 Executive Director

  6. controlled function added: (575)SMF16 Compliance Oversight

  7. controlled function added: (574)SMF17 Money Laundering Reporting Officer (MLRO)

  8. controlled function added: (573)[FCA CF] Client dealing

  9. controlled function added: (572)SMF3 Executive Director

  10. controlled function added: (571)[FCA CF] Client dealing

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