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.

  • Nicole Vertolo

    IRN NXV00064

    • (408)[FCA CF] Client dealing (since 20 May 2025)
  • Niels Becker

    IRN NXB01435

    • (264)CF30 Customer (25 Mar 2008 to 27 Jun 2008)
  • Niels Evert Althuis

    IRN NXA00084

    • (1960)[FCA CF] Client dealing (31 Dec 2020 to 9 Jun 2021)
  • Niels Ole Visser

    IRN NXV00109

    • (240)[FCA CF] Client dealing (since 9 Apr 2026)
  • Nigel Das

    IRN NPD01019

    • (1744)CF30 Customer (26 Oct 2010 to 29 Jun 2012)
  • Nigel Paul Higgins

    IRN NPH01040

    • (2401)CF3 Chief Executive (19 Sep 2016 to 12 Oct 2018)
    • (2402)CF1 Director (19 Sep 2016 to 12 Oct 2018)
    • (2398)SMF1 Chief Executive (7 Mar 2016 to 19 Sep 2016)
    • (2399)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (2400)CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
  • Nigel William Himsworth

    IRN NWH01013

    • (1556)[FCA CF] Client dealing (31 Dec 2020 to 6 Jun 2024)
    • (1554)CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • (1555)CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Nikhil Sahdev

    IRN NXS00615

    • (374)[FCA CF] Client dealing (since 20 Mar 2024)
  • Nikhil Varghese Kurien

    IRN NXK00334

    • (317)[FCA CF] Client dealing (since 10 Apr 2025)
  • Nikhil Walia

    IRN NXW01274

    • (89)[FCA CF] Manager of certification employee (since 16 May 2022)
    • (88)[FCA CF] Client dealing (since 31 Dec 2020)
    • (1784)CF30 Customer (9 Jun 2014 to 6 Mar 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: (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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