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 Polacek

    IRN DMP01130

    • CF30 Customer (9 Jan 2015 to 6 Mar 2016)
  • David Rene James de Rothschild

    IRN DRD01015

    • CF8 Apportionment and Oversight (30 Jun 2003 to 31 Oct 2007)
    • CF3 Chief Executive (30 Jun 2003 to 5 Mar 2014)
    • CF1 Director (30 Jun 2003 to 5 Mar 2014)
  • David Robert Dodds

    IRN DRD01021

    • CF30 Customer (1 Nov 2007 to 1 Jan 2013)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • David Sheng Wu

    IRN DSW01088

    • CF30 Customer (1 Nov 2007 to 1 Aug 2008)
    • CF23 Corporate Finance Adviser (7 Mar 2007 to 31 Oct 2007)
  • David Stephen Pye

    IRN DSP01033

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • David Thomas James Hawkins

    IRN DTH01060

    • CF30 Customer (10 Sep 2015 to 6 Mar 2016)
  • David Wayne Cain

    IRN DXC01418

    • CF21 Investment Adviser (1 Dec 2001 to 10 Oct 2003)
    • CF1 Director (1 Dec 2001 to 10 Oct 2003)
  • David William Baxter

    IRN DWB01089

    • CF30 Customer (1 Nov 2007 to 19 May 2009)
    • CF23 Corporate Finance Adviser (27 Jun 2007 to 31 Oct 2007)
  • David William Street

    IRN DWS01050

    • CF1 Director (24 Nov 2003 to 13 Dec 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 5 Apr 2002)
  • Davina Louise Cronin

    IRN DXC00563

    • [FCA CF] Client dealing (since 16 Aug 2022)
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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.