HARBOUR ROCK CAPITAL LIMITED

• Principal Place of Business

  Affinity House

  Beaufort Court, Sir Thomas Longley Road

  Medway City Estate

  Rochester

  Kent

  ME2 4FD

  ENGLAND

  Phone

  +441634930600

  Web

  http://www.harbourrockcapital.co.uk

• Complaints Contact

  Harbour Rock Capital Limited

  Affinity House

  Beaufort Court

  Sir Thomas Longley Road

  Rochester

  Medway

  ME2 4FD

  UNITED KINGDOM

  Phone

  +441634930600

• Pension Transfer Advice

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · 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 Advice (no pensions)

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · 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

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · 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.

• Arranges Asset Safekeeping

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Unit, Warrant

• Stockbroking

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · 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 Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · 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.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · 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.

• Aaron Efe Jibromah

  IRN AXJ00399

  • [FCA CF] Functions requiring qualifications (2 Feb 2023 to 29 Mar 2024)
  • [FCA CF] Client dealing (2 Feb 2023 to 29 Mar 2024)
• Adam Stacey

  IRN AXS01335

  • [FCA CF] Client dealing (22 Nov 2022 to 20 Dec 2024)
  • [FCA CF] Functions requiring qualifications (22 Nov 2022 to 20 Dec 2024)
• Amanda Bubb

  IRN AXB00283

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 6 Jul 2022)
  • [FCA CF] Functions requiring qualifications (since 6 Jul 2022)
• Andrew Porritt

  IRN AXP00770

  • [FCA CF] Manager of certification employee (2 Feb 2023 to 8 Feb 2024)
• Andrew Richard Moore

  IRN ARM00001

  • SMF3 Executive Director (9 Dec 2019 to 20 Dec 2021)
  • CF1 Director (24 Feb 2017 to 8 Dec 2019)
• Anna Emma Paynter

  IRN AXP00641

  • [FCA CF] Manager of certification employee (5 Jul 2022 to 20 Sep 2023)
  • [FCA CF] Functions requiring qualifications (5 Jul 2022 to 20 Sep 2023)
  • [FCA CF] Client dealing (5 Jul 2022 to 20 Sep 2023)
• Ashley Barrington Fraser

  IRN AXF06850

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (31 Oct 2018 to 8 Dec 2019)
• Azalea Gras-Velázquez

  IRN AXG01009

  • CF1 Director (AR) (since 24 Oct 2025)
  • SMF3 Executive Director (since 21 Oct 2025)
  • [FCA CF] Significant management (since 5 Feb 2025)
• Bradley Cooper

  IRN BXC00278

  • [FCA CF] Significant management (1 Sep 2022 to 1 Jul 2025)
• Brandon Paul Fulford

  IRN BXF00131

  • 14. Managing investments
  • 10. Broker fund adviser
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 18 Jan 2023)
  • [FCA CF] Client dealing (since 18 Jan 2023)

• Prism Investments Limited

  FRN 985711 · Appointed 21 Oct 2022

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