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.

  • Nathalie Anna Reeves

    IRN NAF01053

    • (85)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1752)CF30 Customer (11 Jul 2012 to 6 Mar 2016)
  • Nathalie Valerie Daniele Recoing

    IRN NVM01009

    • (742)CF30 Customer (1 Nov 2007 to 11 Aug 2009)
    • (743)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Nathan Johan Geerinck

    IRN NJG01160

    • (28)CF30 Customer (14 Dec 2016 to 7 Apr 2017)
  • Nayreen Akhtar

    IRN NXA02007

    • (16)CF30 Customer (2 Jun 2017 to 23 Feb 2018)
  • Nedim Bazdar

    IRN NXB14539

    • (2200)[FCA CF] Client dealing (31 Dec 2020 to 28 May 2021)
    • (2199)CF30 Customer (2 May 2019 to 8 Dec 2019)
  • Neel Popat

    IRN NXP01452

    • (154)CF30 Customer (10 May 2012 to 6 Sep 2013)
  • Neer Sharma

    IRN NXS01916

    • (80)CF30 Customer (13 Feb 2015 to 17 Apr 2015)
  • Neeve Billis

    IRN NJB01115

    • (2224)CF30 Customer (1 Nov 2007 to 31 Mar 2015)
    • (2225)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Neil Cox

    IRN NXC01142

    • (732)CF21 Investment Adviser (18 Nov 2002 to 31 Aug 2007)
    • (731)CF23 Corporate Finance Adviser (1 Dec 2001 to 18 Nov 2002)
  • Neil Grogan

    IRN NXG00179

    • (1421)[FCA CF] Client dealing (25 Jul 2022 to 31 Oct 2025)
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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: (570)SMF9 Chair of the Governing Body

  2. controlled function added: (569)[FCA CF] Material risk taker

  3. controlled function added: (568)Director of firm who is not a certification employee or a SMF manager

  4. controlled function added: (567)[FCA CF] Manager of certification employee

  5. controlled function added: (566)[FCA CF] Client dealing

  6. controlled function added: (565)[FCA CF] Material risk taker

  7. controlled function added: (564)[FCA CF] Manager of certification employee

  8. controlled function added: (563)[FCA CF] Client dealing

  9. controlled function added: (562)SMF1 Chief Executive

  10. controlled function added: (561)[FCA CF] Material risk taker

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