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.

  • Emily Katheryn Morgan

    IRN EXM00405

    • [FCA CF] Client dealing (since 25 Jun 2025)
  • Emily Nicol

    IRN EXN00022

    • [FCA CF] Client dealing (8 Feb 2021 to 11 Jun 2021)
  • Emily Parsons

    IRN EXP00204

    • [FCA CF] Client dealing (3 Aug 2023 to 29 Feb 2024)
  • Emily Tan

    IRN EXT00045

    • [FCA CF] Client dealing (31 Dec 2020 to 14 May 2021)
  • Emily Walker

    IRN EXW00128

    • [FCA CF] Client dealing (13 Jul 2021 to 18 May 2023)
  • Emma Claudine Sinclair

    IRN ECS01014

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 24 Oct 2003)
  • Emma Jane Owens

    IRN EJO01010

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 23 Aug 2002)
  • Emma Kate Griffin

    IRN EKG00002

    • SMF3 Executive Director (since 13 Jan 2026)
    • [FCA CF] Client dealing (since 1 Jan 2026)
    • [FCA CF] Material risk taker (since 5 Feb 2024)
    • Director of firm who is not a certification employee or a SMF manager (22 May 2023 to 1 Jan 2026)
  • Emma Louise Hall

    IRN ELH01035

    • CF30 Customer (1 Nov 2007 to 8 Oct 2010)
    • CF21 Investment Adviser (18 Nov 2005 to 31 Oct 2007)
  • Emma Louise Wilson

    IRN ELW01009

    • CF21 Investment Adviser (1 Dec 2001 to 11 Nov 2002)
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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.