N. M. ROTHSCHILD & SONS LIMITED
Addresses
The contact details this firm has registered with the FCA.
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Principal Place of Business
New CourtSt Swithin's LaneLondonEC4N 8ALUNITED KINGDOM- Phone
- +4402072805000
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Complaints Contact
New CourtSt Swithin's LaneLondonEC4N 8ALUNITED KINGDOM- Phone
- +4402072805000
What this firm is allowed to do
The regulated activities the FCA has granted this firm permission to carry out.
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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 Hide 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.
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Authorised to Operate
Show 1 limitation Hide limitations
- · The firm can only agree to carry on the regulated activities specified in this Notice.
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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 Hide limitations
- · 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.
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Buy-to-Let Start Date
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Buy-to-Let End Date
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Buy-to-Let Status
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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 Hide limitations
- · 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.
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Julien Pierre Scemama
IRN JXS02951
- (1447)CF30 Customer (20 Nov 2014 to 6 Mar 2016)
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June Tracey Danvers
IRN JTD01041
- (447)CF30 Customer (1 Nov 2007 to 15 Feb 2011)
- (448)CF21 Investment Adviser (25 Apr 2005 to 31 Oct 2007)
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Justin Hesman Abbott
IRN JHA01021
- (1093)CF21 Investment Adviser (1 Dec 2001 to 7 Oct 2005)
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Justin Yerng Jee Low
IRN JYL01016
- (1239)[FCA CF] Client dealing (31 Dec 2020 to 3 Nov 2023)
- (1238)CF30 Customer (30 Jun 2017 to 8 Dec 2019)
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Ka Ki Hugo Lu
IRN KKL01009
- (1070)CF30 Customer (26 Apr 2018 to 21 Dec 2018)
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Ka Yuen Eunice Tai
IRN KYT01006
- (308)CF30 Customer (6 Nov 2007 to 15 Jul 2010)
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Kabir Krishan Babber
IRN KKB01027
- (31)[FCA CF] Client dealing (since 31 Dec 2020)
- (1323)CF30 Customer (5 Oct 2016 to 8 Dec 2019)
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Kade Francis Stroude
IRN KXS00175
- (1818)[FCA CF] Client dealing (31 Dec 2020 to 10 Jul 2023)
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Kai Torsten Roettgers
IRN KTR01010
- (1073)CF30 Customer (29 Jul 2014 to 23 Nov 2015)
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Kalap Andy Ho
IRN KXH00454
- (377)[FCA CF] Client dealing (since 20 Mar 2024)
Appointed representatives
Smaller firms operating under this firm's FCA authorisation.
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Rothschild & Co Europe Partnership (no longer appointed)
FRN 801234 · Appointed 9 Feb 2018 · Until 25 Mar 2021
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Lanebridge Investment Management Limited (no longer appointed)
FRN 550909 · Appointed 13 May 2011 · Until 12 Jun 2024
Recent activity
Updates to this firm's record on the FCA register.
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trading name added: N M Rothschild & Sons Ltd
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permission removed: CBTL Effective Date
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permission removed: CBTL End Date
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permission removed: CBTL Status
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controlled function added: (576)SMF3 Executive Director
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controlled function added: (575)SMF16 Compliance Oversight
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controlled function added: (574)SMF17 Money Laundering Reporting Officer (MLRO)
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controlled function added: (573)[FCA CF] Client dealing
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controlled function added: (572)SMF3 Executive Director
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controlled function added: (571)[FCA CF] Client dealing