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.

  • Nicholas John Ivey

    IRN NXI00030

    • (459)[FCA CF] Client dealing (since 24 May 2022)
    • (460)[FCA CF] Manager of certification employee (since 24 May 2022)
  • Nicholas John Rodwell

    IRN NJR01161

    • (1619)[FCA CF] Client dealing (31 Dec 2020 to 31 Dec 2021)
    • (1618)CF30 Customer (16 Jul 2018 to 8 Dec 2019)
  • Nicholas Jonathan Sheffield

    IRN NJS01189

    • (342)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (343)CF23 Corporate Finance Adviser (24 Oct 2006 to 31 Oct 2007)
  • Nicholas Martin Kramer

    IRN NMK01009

    • (896)CF21 Investment Adviser (1 Dec 2001 to 31 Mar 2006)
  • Nicholas Peter Mayleston Hooper

    IRN NPH01035

    • (845)CF30 Customer (1 Nov 2007 to 1 Sep 2014)
    • (846)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Nicholas Strong

    IRN NWS01023

    • (1670)CF30 Customer (1 Nov 2007 to 31 Jul 2013)
    • (1671)CF21 Investment Adviser (27 Apr 2004 to 31 Oct 2007)
  • Nicholas Tadeusz Gowlland

    IRN NTG01003

    • (906)CF30 Customer (1 Nov 2007 to 1 Oct 2008)
    • (907)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Nick Aaron Larsson

    IRN NXL00183

    • (390)[FCA CF] Client dealing (since 22 Feb 2024)
  • Nico Prokop

    IRN NXP06414

    • (1584)[FCA CF] Client dealing (31 Dec 2020 to 23 Apr 2021)
    • (1583)CF30 Customer (21 Sep 2018 to 8 Dec 2019)
  • Nicola En Sian Teh

    IRN NET01020

    • (22)CF30 Customer (5 May 2017 to 13 Oct 2017)
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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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