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.

  • Adam Vincent Parr

    IRN AVP01007

    • CF21 Investment Adviser (1 Dec 2001 to 28 Feb 2002)
  • Adam Young

    IRN AXY01028

    • [FCA CF] Client dealing (31 Dec 2020 to 31 Oct 2024)
    • [FCA CF] Manager of certification employee (31 Dec 2020 to 26 May 2022)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Adhiraaj Khosla

    IRN AXK00861

    • [FCA CF] Client dealing (since 27 Mar 2024)
  • Adil Rangoonwala

    IRN AXR01165

    • [FCA CF] Client dealing (since 10 Feb 2026)
  • Aditya Saikia

    IRN AXS02140

    • CF30 Customer (1 Nov 2007 to 9 Mar 2008)
    • CF23 Corporate Finance Adviser (8 Feb 2005 to 31 Oct 2007)
  • Adrian Edward Wright

    IRN AEW01040

    • CF21 Investment Adviser (1 Dec 2001 to 22 Dec 2006)
  • Adrian Foong

    IRN AXF00337

    • [FCA CF] Client dealing (13 Apr 2022 to 21 May 2024)
  • Adrianus Johannes Henricus Diepstraten

    IRN AXD01062

    • [FCA CF] Client dealing (17 Apr 2025 to 29 Aug 2025)
  • Afolabi Oladapo Olowolafe

    IRN AOO00052

    • CF30 Customer (5 Oct 2016 to 9 Nov 2018)
  • Agnieszka Ziemba

    IRN AXZ01023

    • CF21 Investment Adviser (15 Aug 2003 to 23 Feb 2004)
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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.