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 Joseph Kirby

    IRN AJK01187

    • CF30 Customer (28 Sep 2012 to 31 Mar 2014)
  • Andrew Mark Graham

    IRN AMG01207

    • [FCA CF] Client dealing (31 Dec 2020 to 30 Apr 2021)
    • CF30 Customer (9 Feb 2011 to 6 Mar 2016)
  • Andrew Maxwell Nicholson

    IRN AMN01023

    • [FCA CF] Client dealing (since 23 Mar 2026)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 12 Nov 2004)
  • Andrew Nicholas Sandars

    IRN ANS01022

    • CF21 Investment Adviser (1 Dec 2001 to 11 Aug 2003)
  • Andrew Raymond Haines

    IRN ARH00073

    • CF21 Investment Adviser (1 Dec 2001 to 27 Jun 2003)
  • Andrew Richards

    IRN ABR01010

    • [FCA CF] Client dealing (since 10 Mar 2026)
  • Andrew Robert Moore

    IRN ARM01185

    • CF21 Investment Adviser (4 Jun 2004 to 27 Aug 2004)
  • Andrew Russell Keith Webb

    IRN ARW01112

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Andrew Thomas

    IRN AXT01150

    • [FCA CF] Manager of certification employee (since 31 Dec 2020)
    • [FCA CF] Client dealing (since 31 Dec 2020)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Andrew Whiting

    IRN AXW01710

    • CF30 Customer (1 Nov 2007 to 31 Oct 2012)
    • CF21 Investment Adviser (3 Oct 2007 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.

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