N. M. ROTHSCHILD & SONS LIMITED

Date authorised
1 April 2013
Companies House
00925279
Last scraped
1 week 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.

  • Peter James Hutton Charsley

    IRN PJC01179

    • (811)CF30 Customer (1 Nov 2007 to 12 Dec 2014)
    • (812)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Peter James Nicklin

    IRN PJN01041

    • (1493)[FCA CF] Manager of certification employee (31 Dec 2020 to 1 Apr 2026)
    • (1492)[FCA CF] Client dealing (31 Dec 2020 to 1 Apr 2026)
    • (1490)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1491)CF23 Corporate Finance Adviser (3 Oct 2003 to 31 Oct 2007)
  • Peter John Griggs

    IRN PJG01129

    • (1085)CF1 Director (AR) (9 Nov 2015 to 31 May 2018)
    • (1083)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1084)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • (1086)CF1 Director (1 Dec 2001 to 13 Dec 2004)
  • Peter John Westby

    IRN PJW01116

    • (643)CF21 Investment Adviser (1 Dec 2001 to 20 Dec 2002)
  • Peter John Whelan

    IRN PJW01187

    • (603)CF30 Customer (1 Nov 2007 to 29 Oct 2013)
    • (604)CF23 Corporate Finance Adviser (16 Apr 2002 to 31 Oct 2007)
  • Peter John William Bird

    IRN PJB01287

    • (706)CF30 Customer (1 Nov 2007 to 30 Jun 2012)
    • (707)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Peter Kenneth Estlin

    IRN PKE01008

    • (569)[FCA CF] Material risk taker (since 5 Feb 2024)
    • (568)Director of firm who is not a certification employee or a SMF manager (since 31 Dec 2020)
  • Peter Mark Simpson

    IRN PMS01117

    • (567)CF23 Corporate Finance Adviser (22 Oct 2002 to 19 Jul 2005)
  • Peter Michael Bates

    IRN PMB01084

    • (962)CF23 Corporate Finance Adviser (1 Dec 2001 to 27 Jun 2003)
  • Peter Michael Brierley

    IRN PMB01246

    • (32)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1338)[FCA CF] Manager of certification employee (17 Aug 2021 to 23 May 2022)
    • (1337)CF30 Customer (30 Sep 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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