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.

  • Daniel Jack Cohen

    IRN DJC01507

    • [FCA CF] Client dealing (since 6 Nov 2023)
    • [FCA CF] Manager of certification employee (since 6 Nov 2023)
  • Daniel James Matthews

    IRN DJM01463

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (21 Sep 2004 to 31 Oct 2007)
  • Daniel Joseph Domberger

    IRN DJD01218

    • [FCA CF] Client dealing (since 25 Jul 2022)
    • [FCA CF] Manager of certification employee (since 25 Jul 2022)
  • Daniel Krsicka

    IRN DXK01317

    • CF30 Customer (28 Apr 2008 to 16 Jun 2010)
  • Daniel Luke Chetcuti

    IRN DLC01082

    • [FCA CF] Client dealing (since 31 Dec 2020)
    • [FCA CF] Manager of certification employee (since 31 Dec 2020)
    • CF30 Customer (9 Jun 2014 to 6 Mar 2016)
  • Daniel Robert Foggo

    IRN DRF01032

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 29 Sep 2006)
  • Daniel Ross

    IRN DDR01011

    • [FCA CF] Client dealing (since 31 Mar 2025)
  • Daniel Rossell

    IRN DXR01986

    • [FCA CF] Manager of certification employee (16 May 2022 to 30 Jun 2024)
    • [FCA CF] Client dealing (31 Dec 2020 to 30 Jun 2024)
    • CF30 Customer (13 Jul 2018 to 8 Dec 2019)
  • Daniel Sand

    IRN DXS01925

    • CF30 Customer (29 Nov 2007 to 6 Sep 2013)
  • Daniel Song Mackinnon

    IRN DSM01140

    • CF30 Customer (19 May 2014 to 8 Jan 2015)
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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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