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.

  • Lauren Kate Miller

    IRN LKM01031

    • (27)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1286)CF30 Customer (30 Jul 2019 to 8 Dec 2019)
  • Lauren Kayleigh Patel

    IRN LXW68386

    • (538)[FCA CF] Client dealing (since 31 Dec 2020)
  • Laurence Alexander Nel

    IRN LXN00070

    • (1411)[FCA CF] Client dealing (22 Apr 2022 to 29 Jul 2022)
  • Laurent Bourgoin

    IRN LXB01386

    • (1020)CF30 Customer (1 Nov 2007 to 10 Jun 2011)
    • (1021)CF23 Corporate Finance Adviser (14 Dec 2005 to 31 Oct 2007)
  • Laurent Feniou

    IRN LXF01072

    • (860)CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • (861)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Laurent Simon Haziza

    IRN LSH01010

    • (1571)[FCA CF] Client dealing (31 Dec 2020 to 31 May 2022)
    • (1569)CF30 Customer (5 Jul 2018 to 8 Dec 2019)
    • (1570)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Laurentiu Florin Prodan

    IRN LXP01451

    • (76)CF30 Customer (5 Mar 2015 to 6 Mar 2016)
  • Laurenz Maximilian Samanns

    IRN LMS01132

    • (1280)[FCA CF] Client dealing (31 Dec 2020 to 1 Jan 2021)
    • (1279)CF30 Customer (5 Feb 2019 to 8 Dec 2019)
  • Laurynas Tribaldovas

    IRN LXT01386

    • (11)CF30 Customer (30 Jun 2017 to 3 Sep 2018)
  • Lay Seng Khoo

    IRN LSK01004

    • (781)CF30 Customer (1 Nov 2007 to 29 Jul 2008)
    • (782)CF21 Investment Adviser (7 Dec 2004 to 31 Oct 2007)
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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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