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.

  • Nicola Free

    IRN NXS01333

    • (1479)CF21 Investment Adviser (14 Nov 2003 to 24 Apr 2006)
  • Nicola Helen Sutton

    IRN NHS01013

    • (509)CF1 Director (15 Dec 2003 to 22 Dec 2003)
    • (508)CF21 Investment Adviser (1 Dec 2001 to 22 Dec 2003)
  • Nicola King

    IRN NXK01042

    • (902)CF23 Corporate Finance Adviser (1 Dec 2001 to 24 Jan 2002)
  • Nicola King

    IRN NXK01191

    • (132)[FCA CF] Client dealing (since 31 Dec 2020)
    • (2205)CF30 Customer (19 Sep 2016 to 8 Dec 2019)
    • (2206)CF23 Corporate Finance Adviser (27 Sep 2006 to 31 Oct 2007)
  • Nicola Santangelo

    IRN NXS01196

    • (758)CF23 Corporate Finance Adviser (22 Oct 2002 to 31 Jan 2007)
  • Nicolas Arthur Paranque

    IRN NAP01095

    • (39)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1343)CF30 Customer (24 Sep 2018 to 8 Dec 2019)
  • Nicolas Beck

    IRN NXB00288

    • (1473)[FCA CF] Client dealing (19 Oct 2021 to 12 May 2022)
  • Nicolas Hourcard

    IRN NXH01730

    • (30)CF30 Customer (10 Nov 2016 to 3 Jul 2018)
  • Nicolas Jacques Claude Charlet

    IRN NJC01152

    • (585)CF30 Customer (12 Oct 2011 to 6 Mar 2016)
  • Nicolas Stanislas Beaujoin

    IRN SXN01258

    • (2305)CF30 Customer (13 May 2010 to 30 Sep 2011)
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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: (520)[FCA CF] Client dealing

  2. controlled function added: (519)[FCA CF] Client dealing

  3. controlled function added: (518)[FCA CF] Client dealing

  4. controlled function added: (517)[FCA CF] Client dealing

  5. controlled function added: (516)[FCA CF] Client dealing

  6. controlled function added: (515)[FCA CF] Manager of certification employee

  7. controlled function added: (514)[FCA CF] Client dealing

  8. controlled function added: (513)[FCA CF] Client dealing

  9. controlled function added: (512)[FCA CF] Client dealing

  10. controlled function added: (511)[FCA CF] Manager of certification employee

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