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.

  • Hidemi Naganuma

    IRN HXN01131

    • CF30 Customer (9 Feb 2011 to 26 Aug 2011)
  • Hortense Isis Elvina Gisele Bouchard-Negre

    IRN HIB01003

    • CF30 Customer (13 May 2017 to 8 May 2019)
  • Hugh Bernard Joseph Rylands

    IRN HXR00203

    • [FCA CF] Client dealing (4 Aug 2023 to 12 Jul 2024)
  • Hugo Peter Talbot

    IRN HPT01012

    • CF30 Customer (1 Nov 2007 to 28 Sep 2012)
    • CF23 Corporate Finance Adviser (12 Dec 2006 to 31 Oct 2007)
  • Ian Brown

    IRN IXB00103

    • [FCA CF] Manager of certification employee (since 25 Jul 2022)
    • [FCA CF] Client dealing (since 25 Jul 2022)
  • Ian Charles Paterson

    IRN ICP01013

    • CF23 Corporate Finance Adviser (1 Oct 2004 to 26 Apr 2006)
  • Ian David Walker

    IRN IDW01030

    • CF1 Director (AR) (9 Nov 2015 to 11 Jun 2024)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF1 Director (13 Aug 2003 to 13 Dec 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Ian David Wilson

    IRN IDW01032

    • CF23 Corporate Finance Adviser (1 Dec 2001 to 4 Apr 2002)
  • Ian Guilfoyle

    IRN IXG00071

    • [FCA CF] Client dealing (since 25 Jul 2022)
  • Ian Michael Steward

    IRN IMS01035

    • CF30 Customer (1 Nov 2007 to 2 Feb 2009)
    • 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.

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