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.

  • Mark Simon Rogers

    IRN MSR01050

    • (1740)CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2004)
  • Mark Thomas Dimmer

    IRN MTD01031

    • (456)CF23 Corporate Finance Adviser (10 Nov 2004 to 3 Aug 2007)
  • Mark William Reid

    IRN MXR00775

    • (1236)[FCA CF] Client dealing (10 Aug 2023 to 19 Feb 2025)
  • Mark Withecombe

    IRN MXW01744

    • (338)CF23 Corporate Finance Adviser (10 May 2007 to 27 Jul 2007)
  • Mark-Philipp Lesjak

    IRN MXL01921

    • (1101)CF30 Customer (23 Feb 2012 to 6 Mar 2016)
  • Marko Kosutic

    IRN MXK00289

    • (515)[FCA CF] Manager of certification employee (since 24 Apr 2026)
    • (514)[FCA CF] Client dealing (since 24 Apr 2026)
  • Martien Martinus Johannes Bankers

    IRN MMB01070

    • (123)[FCA CF] Client dealing (since 31 Dec 2020)
    • (2043)[FCA CF] Manager of certification employee (31 Dec 2020 to 26 May 2022)
    • (2042)CF30 Customer (2 Nov 2016 to 8 Dec 2019)
  • Martin Bruce James Downes

    IRN MXD01306

    • (573)CF28 Systems and controls (1 Nov 2007 to 31 Jul 2015)
    • (574)CF15 Internal Audit (1 Dec 2001 to 31 Oct 2007)
  • Martin Christopher Hook

    IRN MCH01043

    • (1578)CF30 Customer (17 Dec 2012 to 6 Mar 2016)
  • Martin Ernst Fraenkel

    IRN MEF01027

    • (616)CF1 Director (14 Mar 2002 to 27 May 2004)
    • (615)CF21 Investment Adviser (14 Mar 2002 to 27 May 2004)
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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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