N. M. ROTHSCHILD & SONS LIMITED

Date authorised
1 April 2013
Companies House
00925279
Last scraped
6 days ago

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 Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)

    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 Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)

    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.

  • Investment Setup

    For Retail (Investment), Professional, Eligible Counterparty, Share, Debenture, Government and public security, Warrant, Certificates representing certain security, Unit, Rights to or interests in investments (Security), Option (excluding a commodity option and an option on a commodity future), Commodity option and option on commodity future, Future (excluding a commodity future and a rolling spot forex contract), Commodity Future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Spread Bet, Rolling spot forex contract, Rights to or interests in investments (Contractually Based Investments)

    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.

  • Paul Edward Woodstock Harris

    IRN PEH01039

    • (859)CF23 Corporate Finance Adviser (1 Dec 2001 to 11 Nov 2004)
  • Paul Geoffrey Copsey

    IRN PGC01031

    • (700)CF29 Significant management (18 Feb 2010 to 6 Mar 2016)
    • (699)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (702)CF1 Director (5 May 2006 to 17 Feb 2010)
    • (701)CF21 Investment Adviser (1 Dec 2001 to 2 Aug 2004)
  • Paul Hamilton Tuckwell

    IRN PHT01008

    • (650)CF1 Director (1 Dec 2001 to 28 Feb 2006)
    • (649)CF21 Investment Adviser (1 Dec 2001 to 28 Feb 2006)
  • Paul James Duffy

    IRN PJD01111

    • (199)[FCA CF] Manager of certification employee (since 31 Dec 2020)
    • (198)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1997)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1999)CF1 Director (1 Dec 2001 to 13 Dec 2004)
    • (1998)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Paul James Tapper

    IRN PJT01075

    • (2114)CF30 Customer (31 Dec 2015 to 6 Mar 2016)
  • Paul John Barry

    IRN PJB01445

    • (317)CF1 Director (18 Dec 2007 to 26 May 2010)
  • Paul Jonathan Clark

    IRN PJC01295

    • (402)CF23 Corporate Finance Adviser (12 Oct 2005 to 29 Sep 2006)
  • Paul Lorenzo Mahony

    IRN PLM01025

    • (1158)CF23 Corporate Finance Adviser (24 Sep 2002 to 10 Nov 2004)
  • Paul Michael Simpson

    IRN PMS01082

    • (972)CF30 Customer (1 Nov 2007 to 13 Jan 2016)
    • (973)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Paul Nicolaas Jan Hoogland

    IRN PNH01046

    • (1312)[FCA CF] Client dealing (31 Dec 2020 to 9 Aug 2021)
    • (1311)CF30 Customer (6 Oct 2016 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.

  1. controlled function added: (440)Director of firm who is not a certification employee or a SMF manager

  2. controlled function added: (439)[FCA CF] Client dealing

  3. controlled function added: (438)[FCA CF] Client dealing

  4. controlled function added: (437)[FCA CF] Client dealing

  5. controlled function added: (436)[FCA CF] Client dealing

  6. controlled function added: (435)[FCA CF] Client dealing

  7. controlled function added: (434)[FCA CF] Client dealing

  8. controlled function added: (433)[FCA CF] Client dealing

  9. controlled function added: (432)[FCA CF] Client dealing

  10. controlled function added: (431)[FCA CF] Client dealing

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