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.

  • Achille Demeure

    IRN AXD14365

    • [FCA CF] Client dealing (31 Dec 2020 to 24 Jun 2021)
    • CF30 Customer (27 Apr 2019 to 8 Dec 2019)
  • Adam Coleman

    IRN AXC02986

    • CF30 Customer (17 Jul 2015 to 6 Mar 2016)
  • Adam Edward Chirkowski

    IRN AEC01065

    • CF30 Customer (10 Dec 2009 to 12 Jul 2013)
  • Adam Greenblatt

    IRN AXG01331

    • CF30 Customer (1 Nov 2007 to 9 Apr 2009)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Adam Hani Dawlatly

    IRN AHD01028

    • CF21 Investment Adviser (1 Dec 2001 to 10 Jan 2003)
  • Adam John Hansen

    IRN AJH01526

    • CF30 Customer (14 Oct 2016 to 11 Jul 2019)
    • CF23 Corporate Finance Adviser (4 Sep 2007 to 31 Oct 2007)
  • Adam Mackay

    IRN AXM00229

    • [FCA CF] Client dealing (14 Nov 2022 to 7 Jul 2023)
  • Adam Rabavolgyi

    IRN AXR02856

    • CF30 Customer (15 Jul 2017 to 30 Aug 2019)
  • Adam Richard Greenbury

    IRN ARG01050

    • [FCA CF] Material risk taker (since 5 Feb 2024)
    • CF28 Systems and controls (19 Sep 2016 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF1 Director (19 Aug 2003 to 13 Dec 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Adam Sutherland MacDonald

    IRN ASM01080

    • CF21 Investment Adviser (1 Dec 2001 to 22 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.

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