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.

  • Guy Mullin-Henderson

    IRN GNM01010

    • CF30 Customer (1 Nov 2007 to 30 Sep 2010)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Guy Richard Steel Stevens

    IRN GRS01075

    • CF30 Customer (4 Nov 2008 to 28 Oct 2010)
  • Guy Robert Darby

    IRN GRD01044

    • CF30 Customer (1 Nov 2007 to 31 Mar 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Guy Robert Thomas Bagshaw

    IRN GRB01109

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF23 Corporate Finance Adviser (9 Mar 2006 to 31 Oct 2007)
  • Hamish Moir Mackenzie

    IRN HMM01047

    • CF30 Customer (1 Nov 2007 to 20 Nov 2015)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Hani Raza Abidi

    IRN HXA00028

    • [FCA CF] Client dealing (11 Aug 2021 to 29 Apr 2022)
  • Hanna Oleksiienko

    IRN HXO00071

    • [FCA CF] Client dealing (10 Apr 2024 to 4 Jul 2025)
  • Hannah Gray

    IRN HXB01085

    • CF21 Investment Adviser (1 Dec 2001 to 5 Apr 2006)
  • Hannah Kate Sargeant

    IRN HKS01004

    • CF21 Investment Adviser (1 Dec 2001 to 12 Aug 2005)
  • Hanns Ulrich Witting

    IRN HUW01001

    • CF1 Director (9 Dec 2002 to 30 Sep 2003)
    • CF21 Investment Adviser (9 Dec 2002 to 1 Jul 2003)
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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.