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.

  • David Jeannot Weinberg

    IRN DJW01423

    • [FCA CF] Client dealing (31 Dec 2020 to 28 Dec 2021)
    • CF30 Customer (18 May 2011 to 6 Mar 2016)
  • David John Hemmings

    IRN DJH01254

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (20 Sep 2006 to 31 Oct 2007)
  • David John Reynolds

    IRN DJR01178

    • CF30 Customer (1 Nov 2007 to 25 Aug 2009)
    • CF21 Investment Adviser (6 Feb 2007 to 31 Oct 2007)
  • David John Wilson

    IRN DJW01253

    • CF30 Customer (16 Nov 2011 to 28 Feb 2015)
  • David Jonathan Cowan

    IRN DJC01335

    • CF30 Customer (1 Nov 2007 to 14 Dec 2007)
    • CF23 Corporate Finance Adviser (12 Nov 2004 to 31 Oct 2007)
  • David Kenneth Firman

    IRN DKF01015

    • CF30 Customer (4 Dec 2007 to 31 Mar 2012)
  • David Luke Cox

    IRN DLC01062

    • CF30 Customer (1 Nov 2007 to 10 Oct 2008)
    • CF23 Corporate Finance Adviser (13 Nov 2006 to 31 Oct 2007)
  • David Malcolm Forbes

    IRN DMF01028

    • CF30 Customer (1 Nov 2007 to 31 Mar 2010)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • David Martin Harte

    IRN DXH00286

    • [FCA CF] Client dealing (31 Dec 2020 to 20 Jul 2022)
  • David Meyer Logcher

    IRN DML01143

    • CF30 Customer (24 Apr 2018 to 28 Jun 2019)
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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.