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 Philip Lindley

    IRN RPL01015

    • (1875)CF30 Customer (22 Sep 2008 to 14 Oct 2011)
  • Richard Simon Fetterman

    IRN RSF01017

    • (158)[FCA CF] Manager of certification employee (since 25 Jul 2022)
    • (157)[FCA CF] Client dealing (since 25 Jul 2022)
  • Richard Stanton

    IRN RXS00619

    • (1433)[FCA CF] Client dealing (21 Feb 2022 to 8 Nov 2024)
  • Richard Toby Cohen

    IRN RTC01023

    • (1597)[FCA CF] Manager of certification employee (16 May 2022 to 31 Dec 2024)
    • (1596)[FCA CF] Client dealing (31 Dec 2020 to 31 Dec 2024)
    • (1594)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1595)CF21 Investment Adviser (28 Dec 2001 to 31 Oct 2007)
  • Richard William Alexander Jones

    IRN RWJ01028

    • (1816)CF30 Customer (1 Nov 2007 to 31 Mar 2012)
    • (1817)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Richard William Thomas Silcock

    IRN RWS01084

    • (575)CF30 Customer (1 Nov 2007 to 30 Jun 2009)
    • (576)CF23 Corporate Finance Adviser (13 Aug 2007 to 31 Oct 2007)
  • Rikesh Patel

    IRN RXP01370

    • (1496)CF23 Corporate Finance Adviser (18 Aug 2003 to 19 Dec 2003)
  • Rime Daoui

    IRN RXD00283

    • (477)[FCA CF] Client dealing (since 8 Dec 2021)
  • Rishi Singh Dhot

    IRN RSD01053

    • (361)CF30 Customer (1 Nov 2007 to 27 Nov 2009)
    • (362)CF23 Corporate Finance Adviser (27 Nov 2006 to 31 Oct 2007)
  • Ritu Joshi

    IRN RXJ01365

    • (1470)CF30 Customer (14 Oct 2016 to 11 Nov 2016)
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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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