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.

  • Peter Miles Winston Davies

    IRN PMD01127

    • (294)[FCA CF] Client dealing (31 Dec 2020 to 31 Jan 2021)
    • (293)CF30 Customer (4 Feb 2008 to 6 Mar 2016)
  • Peter Owen Sung-Mok Park

    IRN POP01001

    • (739)CF21 Investment Adviser (1 Dec 2001 to 19 Apr 2002)
  • Peter Wikstrom

    IRN PXW01386

    • (560)CF30 Customer (27 Jan 2009 to 6 Mar 2016)
  • Peter William Barbour

    IRN PWB01110

    • (2336)SMF3 Executive Director (9 Dec 2019 to 5 Mar 2020)
    • (2338)CF1 Director (19 Sep 2016 to 8 Dec 2019)
    • (2335)Responsibility for MCD Intermediation (24 Mar 2016 to 24 Jan 2018)
    • (2337)SMF2 Chief Finance (7 Mar 2016 to 19 Sep 2016)
  • Peter William Fearnley

    IRN PWF01021

    • (2002)CF30 Customer (17 Apr 2008 to 1 Dec 2014)
  • Petr Rieger

    IRN PXR01865

    • (1327)CF30 Customer (10 Oct 2016 to 7 Apr 2017)
  • Petros Machlis

    IRN PXM01990

    • (314)CF30 Customer (29 Nov 2007 to 31 Jul 2009)
  • Philip Denis Sean Williams

    IRN PDW01112

    • (197)CF30 Customer (18 Jun 2010 to 30 Nov 2015)
  • Philip Geoffrey Kelvin

    IRN PGK01030

    • (68)CF30 Customer (29 Apr 2015 to 1 Feb 2016)
  • Philip Hilary Swatman

    IRN PHS01014

    • (651)CF30 Customer (1 Nov 2007 to 30 Sep 2008)
    • (652)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
    • (653)CF1 Director (1 Dec 2001 to 13 Dec 2004)
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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: (420)[FCA CF] Client dealing

  2. controlled function added: (419)[FCA CF] Client dealing

  3. controlled function added: (418)[FCA CF] Client dealing

  4. controlled function added: (417)[FCA CF] Client dealing

  5. controlled function added: (416)[FCA CF] Client dealing

  6. controlled function added: (415)[FCA CF] Client dealing

  7. controlled function added: (414)[FCA CF] Client dealing

  8. controlled function added: (413)[FCA CF] Manager of certification employee

  9. controlled function added: (412)[FCA CF] Client dealing

  10. controlled function added: (411)[FCA CF] Client dealing

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