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.

  • Chongjun Bai

    IRN CXB01692

    • CF23 Corporate Finance Adviser (20 Sep 2005 to 24 Nov 2006)
  • Chris Brooks

    IRN CJB01173

    • CF30 Customer (1 Nov 2007 to 8 Sep 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Christain Kolodinski

    IRN CXK01272

    • CF30 Customer (16 Dec 2008 to 30 Jun 2010)
  • Christian Alexander Savvides

    IRN CAS01093

    • [FCA CF] Client dealing (since 31 Dec 2020)
    • [FCA CF] Manager of certification employee (since 31 Dec 2020)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF1 Director (26 Nov 2004 to 13 Dec 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Christian Hans Friedrich Ebner

    IRN CHE01007

    • CF30 Customer (1 Nov 2007 to 22 Oct 2011)
    • CF21 Investment Adviser (21 Apr 2005 to 31 Oct 2007)
  • Christian Ossig

    IRN CXO01026

    • CF21 Investment Adviser (13 Sep 2002 to 31 Oct 2005)
  • Christian Pfeifer

    IRN CXP01175

    • CF21 Investment Adviser (1 Dec 2001 to 12 Jul 2002)
  • Christian Soberg

    IRN CXS01655

    • CF30 Customer (1 Nov 2007 to 19 Aug 2011)
    • CF23 Corporate Finance Adviser (20 Sep 2006 to 31 Oct 2007)
  • Christian Wachtmeister

    IRN CCW01054

    • CF30 Customer (29 Dec 2009 to 6 Mar 2016)
  • Christian Wolfgang Andres

    IRN CXA00473

    • [FCA CF] Client dealing (since 1 Apr 2026)
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.