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 Blach-Petersen

    IRN NBP01015

    • (151)CF30 Customer (1 Nov 2007 to 14 Oct 2011)
    • (152)CF23 Corporate Finance Adviser (19 Dec 2006 to 31 Oct 2007)
  • Nicholas Charles Hennessey

    IRN NXH14940

    • (1048)CF30 Customer (15 May 2019 to 8 Dec 2019)
  • Nicholas Charles O'Loughlin

    IRN NCO01020

    • (25)CF30 Customer (23 Mar 2017 to 8 Dec 2019)
  • Nicholas Goodall

    IRN NXG00085

    • (521)[FCA CF] Client dealing (since 31 Dec 2020)
  • Nicholas Hugh Tremayne Wrigley

    IRN NHW01020

    • (571)[FCA CF] Client dealing (since 31 Dec 2020)
    • (570)SMF9 Chair of the Governing Body (since 9 Dec 2019)
    • (2352)CF2 Non Executive Director (14 Feb 2019 to 8 Dec 2019)
    • (2350)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (2351)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Nicholas Hunter Wuthrich

    IRN NXW00287

    • (435)[FCA CF] Client dealing (since 8 Aug 2023)
  • Nicholas James Bray

    IRN NJB01150

    • (779)CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2002)
  • Nicholas James Hargrave

    IRN NJH01118

    • (1078)CF21 Investment Adviser (1 Dec 2001 to 15 Jul 2005)
  • Nicholas James Tassell

    IRN NJT01107

    • (2367)SMF3 Executive Director (7 Jun 2023 to 19 Sep 2025)
    • (2365)SMF17 Money Laundering Reporting Officer (MLRO) (7 Jun 2023 to 19 Sep 2025)
    • (2366)SMF16 Compliance Oversight (7 Jun 2023 to 19 Sep 2025)
  • Nicholas John Coulson

    IRN NJC01134

    • (696)CF21 Investment Adviser (1 Dec 2001 to 5 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: (540)[FCA CF] Client dealing

  2. controlled function added: (539)[FCA CF] Client dealing

  3. controlled function added: (538)[FCA CF] Client dealing

  4. controlled function added: (537)[FCA CF] Client dealing

  5. controlled function added: (536)[FCA CF] Manager of certification employee

  6. controlled function added: (535)[FCA CF] Client dealing

  7. controlled function added: (534)[FCA CF] Client dealing

  8. controlled function added: (533)[FCA CF] Client dealing

  9. controlled function added: (532)[FCA CF] Client dealing

  10. controlled function added: (531)[FCA CF] Client dealing

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