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.

  • Dayna Louise Currie

    IRN DLW01094

    • CF30 Customer (17 Aug 2012 to 26 Jun 2015)
  • Debra Ruth Lewis

    IRN DRL01040

    • CF30 Customer (1 Nov 2007 to 31 Mar 2010)
    • CF1 Director (12 Aug 2003 to 13 Dec 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Deepa Ramchandani

    IRN DXR01242

    • CF21 Investment Adviser (1 Dec 2001 to 22 Nov 2002)
  • Deepam Sanghi

    IRN DXS01761

    • CF23 Corporate Finance Adviser (14 Mar 2005 to 31 Mar 2007)
  • Deji Davies

    IRN DOD00004

    • CF21 Investment Adviser (16 Oct 2004 to 10 Aug 2007)
  • Delphine Van Maele

    IRN DXV00148

    • [FCA CF] Client dealing (since 9 Apr 2026)
  • Delphine Voeltzel

    IRN DXV01121

    • CF30 Customer (20 May 2010 to 4 Nov 2011)
  • Dena Bellamy

    IRN DXB01377

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Aug 2007)
  • Denzel Shaun Low

    IRN DXL00382

    • [FCA CF] Client dealing (since 2 Mar 2023)
  • Derek Scott McCrone

    IRN DSM01072

    • CF30 Customer (1 Nov 2007 to 30 Apr 2010)
    • CF21 Investment 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.