N. M. ROTHSCHILD & SONS LIMITED

Date authorised
1 April 2013
Companies House
00925279
Last scraped
4 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.

  • Neil Patrick Jackman

    IRN NPJ01007

    • (920)CF21 Investment Adviser (1 Dec 2001 to 17 Jan 2003)
  • Neil Robert Thwaites

    IRN NRT01025

    • (170)[FCA CF] Client dealing (since 31 Dec 2020)
    • (171)[FCA CF] Manager of certification employee (since 31 Dec 2020)
    • (1769)CF30 Customer (19 Sep 2016 to 8 Dec 2019)
    • (1770)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Neil Russell Martin

    IRN NRM01042

    • (733)CF21 Investment Adviser (1 Dec 2001 to 29 Nov 2004)
  • Neil Smith

    IRN NXS00257

    • (509)[FCA CF] Manager of certification employee (since 25 Jul 2022)
    • (508)[FCA CF] Client dealing (since 25 Jul 2022)
  • Ngoc Tran Thao Nguyen

    IRN NXN56552

    • (2022)[FCA CF] Client dealing (15 Jan 2025 to 12 Dec 2025)
  • Niall James McBride

    IRN NJM01149

    • (2353)CF30 Customer (29 Feb 2008 to 6 Mar 2016)
  • Nic Bosse Blume

    IRN NXB00144

    • (1959)[FCA CF] Client dealing (31 Dec 2020 to 1 Oct 2021)
  • Niccolo Ragnoli

    IRN NXR01274

    • (1845)CF30 Customer (4 Aug 2011 to 31 Aug 2015)
  • Niccoló Mario Zanchi

    IRN NMZ01004

    • (100)CF30 Customer (9 Jun 2014 to 6 Mar 2016)
  • Nicholas Andrew Wood

    IRN NAW01049

    • (1547)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1548)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.

  1. controlled function added: (410)[FCA CF] Client dealing

  2. controlled function added: (409)[FCA CF] Client dealing

  3. controlled function added: (408)[FCA CF] Client dealing

  4. controlled function added: (407)[FCA CF] Client dealing

  5. controlled function added: (406)[FCA CF] Client dealing

  6. controlled function added: (405)[FCA CF] Client dealing

  7. controlled function added: (404)[FCA CF] Client dealing

  8. controlled function added: (403)[FCA CF] Client dealing

  9. controlled function added: (402)[FCA CF] Client dealing

  10. controlled function added: (401)[FCA CF] Manager of certification employee

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