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.

  • Alexei Semenov

    IRN AXS01471

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 5 Aug 2005)
  • Alexey Ivanov-Golitsin

    IRN AXI01275

    • [FCA CF] Client dealing (since 10 Oct 2024)
  • Alexia Marr

    IRN AXM05208

    • [FCA CF] Client dealing (7 Feb 2024 to 4 Jul 2024)
  • Alexis David Masters

    IRN ADM01112

    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Alexis Tchoudnowsky

    IRN AXT01399

    • CF30 Customer (1 Nov 2007 to 26 Feb 2012)
    • CF23 Corporate Finance Adviser (2 Nov 2004 to 31 Oct 2007)
  • Ali Mohammed Hussain Aqeel AlHaddad

    IRN AXA15753

    • [FCA CF] Client dealing (31 Dec 2020 to 16 Sep 2024)
    • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
  • Ali Sharaf

    IRN AXS02535

    • [FCA CF] Client dealing (since 31 Dec 2020)
    • [FCA CF] Manager of certification employee (since 31 Dec 2020)
    • CF30 Customer (19 Aug 2008 to 6 Mar 2016)
  • Alice Harper

    IRN AXC02295

    • SMF16 Compliance Oversight (since 11 Dec 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Dec 2025)
  • Alice Jane Squires

    IRN AJS01685

    • [FCA CF] Manager of certification employee (since 31 Dec 2020)
    • [FCA CF] Client dealing (since 31 Dec 2020)
    • CF30 Customer (14 Aug 2019 to 8 Dec 2019)
  • Alice Leah Alexandre

    IRN ALA01042

    • CF30 Customer (3 May 2012 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.