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.

  • Kalis David

    IRN KXD01221

    • (394)CF23 Corporate Finance Adviser (22 May 2006 to 31 Jan 2007)
  • Kamal Murari

    IRN KXM01172

    • (1009)CF1 Director (3 Apr 2003 to 24 Aug 2004)
    • (1008)CF21 Investment Adviser (3 Apr 2003 to 24 Aug 2004)
  • Karanjit Singh Paul

    IRN KSP01035

    • (59)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1442)[FCA CF] Manager of certification employee (20 Apr 2021 to 23 May 2022)
    • (1441)CF30 Customer (14 Aug 2017 to 8 Dec 2019)
  • Karen Dawaf Harron

    IRN KXD00192

    • (489)[FCA CF] Manager of certification employee (since 17 Sep 2024)
    • (488)[FCA CF] Client dealing (since 25 Jul 2022)
  • Karim Mattar

    IRN KXM01536

    • (133)[FCA CF] Client dealing (since 31 Dec 2020)
    • (2209)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (2210)CF23 Corporate Finance Adviser (21 Nov 2006 to 31 Oct 2007)
  • Karina Danilyuk

    IRN KXD00348

    • (350)[FCA CF] Manager of certification employee (since 5 Sep 2024)
    • (349)[FCA CF] Client dealing (since 5 Sep 2024)
  • Karishmah Bhuwanee

    IRN KXB01408

    • (480)CF23 Corporate Finance Adviser (9 Sep 2004 to 2 Sep 2005)
  • Karl Geisel

    IRN KXG01373

    • (2343)CF30 Customer (13 Jan 2012 to 6 Mar 2016)
  • Karl Gunnar Fredrik Edenholm

    IRN KGE01010

    • (1842)CF30 Customer (21 Feb 2017 to 9 Nov 2017)
  • Karl Saeger

    IRN KXS01737

    • (195)CF30 Customer (16 Nov 2010 to 28 Sep 2011)
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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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