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.

  • Andrew Davison

    IRN AXD02238

    • [FCA CF] Client dealing (since 31 Dec 2020)
    • CF30 Customer (27 Jun 2019 to 8 Dec 2019)
  • Andrew Didham

    IRN AXD01187

    • Director of firm who is not a certification employee or a SMF manager (31 Dec 2020 to 21 Sep 2023)
    • CF30 Customer (14 Oct 2016 to 3 Jun 2019)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 6 Mar 2016)
  • Andrew Gavin Thomson

    IRN AGT01036

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 12 Dec 2005)
  • Andrew Henryk Radkiewicz

    IRN AHR01023

    • CF1 Director (14 Oct 2004 to 13 Dec 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 7 Sep 2007)
  • Andrew Hopkins

    IRN AXH01006

    • [FCA CF] Client dealing (since 3 Oct 2023)
  • Andrew James Blair

    IRN AJB01732

    • CF30 Customer (30 Sep 2016 to 11 Aug 2017)
  • Andrew James Sebastian Burn

    IRN AJB01375

    • CF21 Investment Adviser (8 Dec 2003 to 31 Dec 2003)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Dec 2003)
  • Andrew James Wigglesworth

    IRN AJW01563

    • CF30 Customer (19 Dec 2014 to 6 Mar 2016)
  • Andrew John Fairclough

    IRN AJF01090

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 27 Aug 2004)
  • Andrew John Shearer Macland

    IRN AJM01568

    • CF21 Investment Adviser (25 Aug 2006 to 27 Aug 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.

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