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.

  • Magdalena Markiewicz

    IRN MXM02563

    • (221)CF30 Customer (24 Mar 2010 to 6 Mar 2016)
  • Magid Awad

    IRN MXA04091

    • (1633)CF30 Customer (25 Jan 2018 to 10 May 2019)
  • Mahir Ahmad Quraishi

    IRN MAQ01011

    • (116)[FCA CF] Manager of certification employee (since 16 May 2022)
    • (115)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1986)CF30 Customer (28 Mar 2011 to 6 Mar 2016)
  • Majid Ishaq

    IRN MXI01034

    • (196)[FCA CF] Manager of certification employee (since 31 Dec 2020)
    • (195)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1990)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1991)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Malcolm Francis Coffin

    IRN MFC01057

    • (2387)CF23 Corporate Finance Adviser (9 Mar 2006 to 24 Oct 2007)
  • Malcolm Roger Aish

    IRN MRA01034

    • (720)CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
    • (721)CF1 Director (1 Dec 2001 to 31 Dec 2003)
  • Man Yee Carol Tam

    IRN MYT01000

    • (450)CF30 Customer (1 Nov 2007 to 6 Jan 2009)
    • (451)CF21 Investment Adviser (18 Aug 2006 to 31 Oct 2007)
  • Manasa Madhvan

    IRN MXM00376

    • (1805)[FCA CF] Client dealing (31 Dec 2020 to 30 Aug 2024)
  • Manfredi Corsini

    IRN MXC01913

    • (141)[FCA CF] Client dealing (since 31 Dec 2020)
    • (142)[FCA CF] Manager of certification employee (since 31 Dec 2020)
    • (1524)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1525)CF23 Corporate Finance Adviser (19 Apr 2005 to 31 Oct 2007)
  • Manon Chartagnac

    IRN MXC01696

    • (279)[FCA CF] Client dealing (since 21 Oct 2025)
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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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