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.

  • Glen Manning

    IRN GXM01380

    • [FCA CF] Manager of certification employee (31 Dec 2020 to 23 May 2022)
    • [FCA CF] Client dealing (31 Dec 2020 to 31 Oct 2022)
    • CF30 Customer (18 Feb 2017 to 8 Dec 2019)
  • Glenn Beatham

    IRN GXB01187

    • CF30 Customer (1 Nov 2007 to 31 May 2008)
    • CF1 Director (1 Dec 2001 to 13 Dec 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Godric Austen Walker

    IRN GAW01062

    • CF21 Investment Adviser (20 Jan 2005 to 17 Oct 2007)
  • Gordon William Ray

    IRN GWR01022

    • CF21 Investment Adviser (1 Dec 2001 to 14 Jan 2005)
  • Graham Anthony Hart Courtright

    IRN GAC01136

    • CF30 Customer (28 May 2012 to 2 May 2014)
  • Graham James Hearne

    IRN GJH01100

    • CF2 Non Executive Director (1 Dec 2001 to 10 Jun 2010)
  • Graham Rea Curds

    IRN GRC01071

    • CF1 Director (1 Dec 2001 to 13 Dec 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2006)
  • Graham Samuel Carberry

    IRN GSC01102

    • [FCA CF] Client dealing (25 Jul 2022 to 30 May 2025)
    • [FCA CF] Manager of certification employee (25 Jul 2022 to 30 May 2025)
  • Grant David Wilckens

    IRN GDW01042

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Jul 2002)
  • Gregor Roderick Cant

    IRN GRC01061

    • CF30 Customer (1 Nov 2007 to 30 Nov 2015)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
Show more

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.