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 Charles Bailey

    IRN RCB01120

    • (712)CF30 Customer (14 Oct 2016 to 8 Dec 2019)
    • (713)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
    • (714)CF1 Director (1 Dec 2001 to 13 Dec 2004)
  • Richard Charles Fidler

    IRN RCF01031

    • (1087)CF30 Customer (1 Nov 2007 to 4 Feb 2011)
    • (1088)CF21 Investment Adviser (28 Oct 2005 to 31 Oct 2007)
  • Richard Charles Turner

    IRN RCT01037

    • (919)CF21 Investment Adviser (1 Dec 2001 to 30 Aug 2002)
  • Richard Christopher Thomson

    IRN RCT01044

    • (201)CF30 Customer (1 Nov 2007 to 9 Oct 2009)
    • (202)CF21 Investment Adviser (17 Oct 2002 to 31 Oct 2007)
  • Richard Colin Campbell Todd

    IRN RCT01084

    • (204)CF30 Customer (10 May 2010 to 27 May 2011)
  • Richard Edward John Wyatt

    IRN REW01034

    • (163)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1418)CF30 Customer (31 Aug 2018 to 8 Dec 2019)
  • Richard Geoffrey Millward

    IRN RGM01038

    • (161)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1302)CF30 Customer (14 Oct 2016 to 8 Dec 2019)
    • (1304)CF1 Director (1 Dec 2001 to 13 Dec 2004)
    • (1303)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Richard Harrington Page

    IRN RHP01029

    • (1013)CF1 Director (2 Jul 2004 to 23 Aug 2004)
    • (1012)CF21 Investment Adviser (2 Jul 2004 to 31 Oct 2006)
  • Richard Heinrich Sedlacek

    IRN RHS01041

    • (192)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1968)[FCA CF] Manager of certification employee (31 Dec 2020 to 23 May 2022)
    • (1967)CF30 Customer (22 Dec 2008 to 6 Mar 2016)
  • Richard James

    IRN RXJ00201

    • (1408)[FCA CF] Client dealing (5 Jul 2022 to 30 Nov 2023)
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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: (360)[FCA CF] Manager of certification employee

  2. controlled function added: (359)[FCA CF] Client dealing

  3. controlled function added: (358)[FCA CF] Client dealing

  4. controlled function added: (357)[FCA CF] Client dealing

  5. controlled function added: (356)[FCA CF] Client dealing

  6. controlled function added: (355)[FCA CF] Client dealing

  7. controlled function added: (354)[FCA CF] Client dealing

  8. controlled function added: (353)[FCA CF] Client dealing

  9. controlled function added: (352)[FCA CF] Client dealing

  10. controlled function added: (351)[FCA CF] Client dealing

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