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.

  • Reichel Jenifer

    IRN RXJ01529

    • (2066)[FCA CF] Client dealing (31 Dec 2020 to 8 Oct 2021)
    • (2065)CF30 Customer (8 Jun 2018 to 8 Dec 2019)
  • Renata Avidos Juruena Pereira

    IRN RAP01206

    • (389)CF30 Customer (1 Nov 2007 to 28 Mar 2008)
    • (390)CF23 Corporate Finance Adviser (16 Jan 2007 to 31 Oct 2007)
  • Renato Di Monta

    IRN RXD01454

    • (2110)CF30 Customer (1 Nov 2007 to 12 Feb 2010)
    • (2111)CF23 Corporate Finance Adviser (5 Sep 2007 to 31 Oct 2007)
  • Ria Bains

    IRN RXB00926

    • (364)[FCA CF] Client dealing (since 10 Apr 2024)
  • Riaz Ahmad Vayid

    IRN RAV01034

    • (87)CF30 Customer (14 Nov 2014 to 6 Mar 2016)
  • Riccardo Cecere

    IRN RXC00800

    • (1501)[FCA CF] Client dealing (21 Nov 2024 to 18 Feb 2026)
  • Richard Alexander Bain

    IRN RAB01272

    • (577)CF23 Corporate Finance Adviser (29 Oct 2002 to 1 Dec 2006)
  • Richard Andrew Murley

    IRN RAM01095

    • (573)[FCA CF] Client dealing (since 31 Dec 2020)
    • (2293)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (2294)CF21 Investment Adviser (3 Feb 2006 to 31 Oct 2007)
  • Richard Andrew Spark

    IRN RXS00846

    • (1321)[FCA CF] Client dealing (2 Mar 2023 to 4 Sep 2023)
  • Richard Beard

    IRN RXB00508

    • (1718)[FCA CF] Client dealing (17 Aug 2021 to 24 Jun 2022)
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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: (390)[FCA CF] Client dealing

  2. controlled function added: (389)[FCA CF] Client dealing

  3. controlled function added: (388)[FCA CF] Client dealing

  4. controlled function added: (387)[FCA CF] Client dealing

  5. controlled function added: (386)[FCA CF] Client dealing

  6. controlled function added: (385)[FCA CF] Client dealing

  7. controlled function added: (384)[FCA CF] Client dealing

  8. controlled function added: (383)[FCA CF] Client dealing

  9. controlled function added: (382)[FCA CF] Client dealing

  10. controlled function added: (381)[FCA CF] Client dealing

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