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.

  • Ankit Jain

    IRN AXJ01300

    • CF30 Customer (4 Mar 2008 to 15 Oct 2012)
  • Ankit Mehrotra

    IRN AXM04946

    • [FCA CF] Client dealing (31 Dec 2020 to 30 Apr 2024)
    • CF30 Customer (30 Nov 2017 to 8 Dec 2019)
  • Anna Chalmers

    IRN AXC03569

    • [FCA CF] Client dealing (since 1 Dec 2025)
  • Anna Koliopoulou

    IRN AXK03123

    • CF30 Customer (14 Jul 2018 to 20 Sep 2018)
  • Anna Marshall

    IRN AXM03177

    • [FCA CF] Client dealing (20 Sep 2022 to 24 Apr 2024)
  • Annabelle Judd

    IRN AKJ01023

    • CF30 Customer (14 Oct 2016 to 28 Feb 2017)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • Annant Hematlal Shah

    IRN AHS01060

    • CF30 Customer (1 Nov 2007 to 31 Mar 2012)
    • CF23 Corporate Finance Adviser (16 Sep 2005 to 31 Oct 2007)
  • Anne Li

    IRN AXL01532

    • CF23 Corporate Finance Adviser (22 Nov 2006 to 13 Jul 2007)
  • Anne-Cor Halma

    IRN AXH00323

    • [FCA CF] Client dealing (since 31 Dec 2020)
  • Anne-Laure Cornu-Thenard

    IRN AXC01382

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 May 2002)
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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.