N. M. ROTHSCHILD & SONS LIMITED

Date authorised
1 April 2013
Companies House
00925279
Last scraped
3 weeks ago
Watch for changes

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.

  • Arvind Tewari

    IRN AXT01606

    • CF30 Customer (7 Jun 2010 to 6 Mar 2016)
  • Ascanio Rossini

    IRN AXR00819

    • [FCA CF] Client dealing (20 Sep 2023 to 11 Apr 2025)
  • Ashley Barry James Southcott

    IRN ABS01079

    • [FCA CF] Client dealing (since 31 Dec 2020)
    • [FCA CF] Manager of certification employee (since 31 Dec 2020)
    • CF30 Customer (2 Jun 2011 to 6 Mar 2016)
  • Ashley Farrell Blatter

    IRN AFB01039

    • CF30 Customer (1 Nov 2007 to 17 Apr 2015)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Ashley Jacobs

    IRN AXJ00472

    • [FCA CF] Client dealing (since 18 Dec 2023)
  • Ashley Robert Gillard

    IRN ARG01141

    • [FCA CF] Manager of certification employee (since 20 Apr 2021)
    • [FCA CF] Client dealing (since 31 Dec 2020)
    • CF30 Customer (1 Apr 2014 to 6 Mar 2016)
  • Asmus Lennart Ohle

    IRN ALO01013

    • CF23 Corporate Finance Adviser (16 Sep 2005 to 8 Aug 2007)
  • Assia Belkahia

    IRN AXB02962

    • CF30 Customer (13 Jun 2012 to 7 Jan 2014)
  • Audrey Dorothee Detavernier

    IRN ADD01064

    • CF30 Customer (21 Apr 2010 to 30 Sep 2011)
  • Aurelien Patrick Maudonnet

    IRN APM01157

    • CF30 Customer (1 Nov 2007 to 16 Oct 2009)
    • CF23 Corporate Finance Adviser (25 Oct 2006 to 31 Oct 2007)
Show more

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.