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.

  • Edward Alastair Matthews

    IRN EAM01049

    • CF30 Customer (1 Nov 2007 to 2 May 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Edward Arthur Griffin

    IRN EAG01015

    • CF30 Customer (14 Oct 2016 to 8 Dec 2019)
  • Edward Collas

    IRN EXC01391

    • CF30 Customer (26 Sep 2014 to 6 Mar 2016)
  • Edward George Hallet

    IRN EGH01021

    • CF30 Customer (18 Aug 2008 to 17 Jun 2011)
  • Edward Greaves

    IRN EJG01057

    • CF30 Customer (21 Apr 2010 to 1 Jul 2011)
  • Edward James StJohn Penney

    IRN EXP00205

    • [FCA CF] Client dealing (since 14 Aug 2023)
  • Edward John Duckett

    IRN EJD01041

    • [FCA CF] Client dealing (since 31 Dec 2020)
    • [FCA CF] Manager of certification employee (31 Dec 2020 to 26 May 2022)
    • CF30 Customer (14 Oct 2016 to 8 Dec 2019)
    • CF23 Corporate Finance Adviser (8 Feb 2007 to 31 Oct 2007)
  • Edward John Harcourt Elvin

    IRN EXE14421

    • [FCA CF] Client dealing (31 Dec 2020 to 28 Feb 2023)
    • CF30 Customer (30 Apr 2019 to 8 Dec 2019)
  • Edward Matthew Halfon

    IRN EMH01039

    • CF30 Customer (1 Nov 2007 to 12 Oct 2012)
    • CF23 Corporate Finance Adviser (14 Dec 2005 to 31 Oct 2007)
  • Edward Nicholas Mitting

    IRN ENM01003

    • [FCA CF] Client dealing (31 Dec 2020 to 30 Apr 2024)
    • CF30 Customer (14 Oct 2016 to 8 Dec 2019)
    • 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.