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.

  • Anake Tiger Singh

    IRN AXS05102

    • [FCA CF] Client dealing (since 3 Dec 2024)
  • Ananya Modi

    IRN AXM03448

    • [FCA CF] Manager of certification employee (since 31 Dec 2020)
    • [FCA CF] Client dealing (since 31 Dec 2020)
    • CF30 Customer (5 Nov 2015 to 6 Mar 2016)
  • Anastasia Soboleva

    IRN AXS89488

    • [FCA CF] Client dealing (since 5 Aug 2025)
  • Anatole Weinberger Pang

    IRN AWP01045

    • CF30 Customer (1 Nov 2007 to 30 Oct 2009)
    • CF23 Corporate Finance Adviser (19 Feb 2007 to 31 Oct 2007)
  • Anders Bruhn Aaen

    IRN AXA18791

    • [FCA CF] Client dealing (31 Dec 2020 to 1 Jan 2021)
    • CF30 Customer (19 Aug 2019 to 8 Dec 2019)
  • Andrea Arese

    IRN AXA03095

    • [FCA CF] Client dealing (31 Dec 2020 to 1 Feb 2021)
    • CF30 Customer (23 Jun 2015 to 6 Mar 2016)
  • Andrea Coda

    IRN AXC01556

    • CF23 Corporate Finance Adviser (23 Sep 2002 to 27 Jul 2007)
  • Andrea Enrico Alessandro Cantoni

    IRN AXC17083

    • [FCA CF] Client dealing (31 Dec 2020 to 29 Jan 2021)
    • CF30 Customer (10 Jul 2019 to 8 Dec 2019)
  • Andrea Louise Chapman

    IRN ALN01010

    • CF30 Customer (1 Nov 2007 to 12 Oct 2009)
    • CF21 Investment Adviser (23 Feb 2004 to 31 Oct 2007)
  • Andrea Notaro

    IRN AXN01624

    • [FCA CF] Client dealing (since 31 Dec 2020)
    • CF30 Customer (6 Mar 2015 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.