N. M. ROTHSCHILD & SONS LIMITED

Date authorised
1 April 2013
Companies House
00925279
Last scraped
3 weeks ago
Watch for changes

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.

  • Francesco Iannelli

    IRN FXI00027

    • [FCA CF] Client dealing (since 27 Feb 2025)
  • Francesco Vettori

    IRN FXV01114

    • [FCA CF] Client dealing (30 May 2023 to 24 Apr 2024)
    • CF30 Customer (5 Apr 2018 to 8 Dec 2019)
  • Francis Connolly

    IRN FXC00196

    • [FCA CF] Client dealing (since 1 Apr 2025)
  • Francis William Miles Burkitt

    IRN FWB01009

    • [FCA CF] Client dealing (since 31 Dec 2020)
    • [FCA CF] Manager of certification employee (31 Dec 2020 to 23 May 2022)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF23 Corporate Finance Adviser (24 Sep 2007 to 31 Oct 2007)
  • Franck Lior Salomon Elmaleh

    IRN FLE01002

    • [FCA CF] Client dealing (31 Dec 2020 to 28 Aug 2024)
    • CF30 Customer (30 Sep 2016 to 8 Dec 2019)
  • Franck-Eric Fischer

    IRN FXF01065

    • CF26 Customer Trading (10 Sep 2003 to 27 Jul 2004)
  • Francois Hugues Marie Jean Jarrosson

    IRN FXJ01015

    • [FCA CF] Client dealing (31 Dec 2020 to 19 May 2022)
    • [FCA CF] Manager of certification employee (31 Dec 2020 to 19 May 2022)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (13 Apr 2007 to 31 Oct 2007)
  • Frank Herzog

    IRN FXH01039

    • CF30 Customer (1 Nov 2007 to 31 Mar 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Fraser Kerr Biggart Johnston

    IRN FKJ00003

    • CF30 Customer (15 Jul 2014 to 17 Feb 2015)
  • Frederick Alexander Fabius Foster

    IRN FXF21440

    • [FCA CF] Client dealing (31 Dec 2020 to 1 Jan 2021)
    • CF30 Customer (5 Oct 2019 to 8 Dec 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.