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.

  • Ahmad Ali Qasim

    IRN AAQ01012

    • [FCA CF] Client dealing (since 31 Dec 2020)
    • CF30 Customer (27 Jul 2017 to 8 Dec 2019)
  • Ahmed Jibril

    IRN AXJ01803

    • [FCA CF] Manager of certification employee (since 16 May 2022)
    • [FCA CF] Client dealing (since 31 Dec 2020)
    • CF30 Customer (26 Jul 2019 to 8 Dec 2019)
  • Aigline Charlotte Marie Olympie De Ginestous

    IRN ACD01101

    • CF30 Customer (29 Dec 2009 to 30 Jun 2011)
  • Aimee Coleman

    IRN AXC01229

    • [FCA CF] Client dealing (22 Jan 2024 to 1 Sep 2024)
  • Aisha Tariq

    IRN AXT01338

    • CF21 Investment Adviser (23 Oct 2003 to 2 Jul 2004)
  • Aisling Dwyer

    IRN AXD01060

    • [FCA CF] Client dealing (since 10 Apr 2025)
  • Aisling Hanbury

    IRN ADM01234

    • [FCA CF] Client dealing (31 Dec 2020 to 6 Feb 2025)
    • CF30 Customer (21 Dec 2010 to 6 Mar 2016)
  • Aisling Suk Kwan Man

    IRN ASM01252

    • [FCA CF] Client dealing (since 31 Dec 2020)
    • CF30 Customer (6 Jun 2019 to 8 Dec 2019)
  • Ajit Sukumar Krishnakumar

    IRN ASK01061

    • CF30 Customer (15 Mar 2010 to 21 Dec 2012)
  • Akeel Husein Kurban Sachak

    IRN AHS01019

    • [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)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
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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.