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.

  • Richard James Guest

    IRN RJG01123

    • (838)CF30 Customer (1 Nov 2007 to 13 Sep 2009)
    • (839)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Richard John Blackwell

    IRN RJB01404

    • (1112)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1113)CF23 Corporate Finance Adviser (14 Feb 2005 to 31 Oct 2007)
  • Richard John Harvey Jefferies

    IRN RJJ01050

    • (401)CF21 Investment Adviser (7 Feb 2006 to 24 Aug 2007)
  • Richard John Owens

    IRN RJO01060

    • (274)CF30 Customer (20 Nov 2007 to 31 Jul 2008)
  • Richard Lipsitz

    IRN RXL01455

    • (2393)CF30 Customer (7 Jun 2010 to 23 Oct 2012)
  • Richard Mark Haseldine

    IRN RMH01072

    • (938)CF30 Customer (1 Nov 2007 to 29 Mar 2010)
    • (939)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Richard Noble

    IRN RGN01010

    • (2270)CF23 Corporate Finance Adviser (1 Dec 2001 to 30 Apr 2004)
  • Richard Oliver Hoenich

    IRN ORH01003

    • (2342)CF30 Customer (26 Aug 2011 to 8 Aug 2014)
  • Richard Oliver Stephen Godwin

    IRN ROG01001

    • (1615)CF30 Customer (14 Oct 2016 to 31 Dec 2018)
    • (1616)CF23 Corporate Finance Adviser (15 Nov 2005 to 31 Oct 2007)
  • Richard Peter Heald

    IRN RPH01032

    • (677)CF30 Customer (1 Nov 2007 to 24 Sep 2010)
    • (678)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: (380)[FCA CF] Client dealing

  2. controlled function added: (379)[FCA CF] Client dealing

  3. controlled function added: (378)[FCA CF] Client dealing

  4. controlled function added: (377)[FCA CF] Client dealing

  5. controlled function added: (376)[FCA CF] Client dealing

  6. controlled function added: (375)[FCA CF] Client dealing

  7. controlled function added: (374)[FCA CF] Client dealing

  8. controlled function added: (373)[FCA CF] Client dealing

  9. controlled function added: (372)[FCA CF] Client dealing

  10. controlled function added: (371)[FCA CF] Client dealing

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