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.

• Caron Derksen

  IRN CXD00214

  • [FCA CF] Significant management (9 Dec 2019 to 5 Jan 2024)
• Charley Nettleingham-Ryan

  IRN CXN00146

  • [FCA CF] Functions requiring qualifications (20 Jul 2022 to 7 Apr 2023)
  • [FCA CF] Client dealing (20 Jul 2022 to 7 Apr 2023)
• Chloe Davies

  IRN CXD00468

  • [FCA CF] Client dealing (30 May 2023 to 20 Dec 2024)
  • [FCA CF] Functions requiring qualifications (30 May 2023 to 20 Dec 2024)
• Christopher John Wood

  IRN CJW00098

  • CF1 Director (AR) (since 16 Apr 2025)
  • SMF16 Compliance Oversight (since 14 Apr 2023)
  • SMF3 Executive Director (since 14 Apr 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Apr 2023)
  • [FCA CF] Manager of certification employee (3 Apr 2023 to 14 Apr 2023)
  • [FCA CF] Significant management (3 Apr 2023 to 14 Apr 2023)
• Christopher Malcolm Simpson

  IRN CMS01233

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2025)
  • CF30 Customer (30 May 2017 to 8 Dec 2019)
• Crystal Wendy LeRoux

  IRN CXL00369

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 21 Dec 2022)
  • [FCA CF] Client dealing (since 21 Dec 2022)
• David Ellis

  IRN DXE00159

  • [FCA CF] Client dealing (6 Sep 2022 to 20 Dec 2024)
  • [FCA CF] Functions requiring qualifications (6 Sep 2022 to 20 Dec 2024)
• Donna Sutton

  IRN DXS00702

  • [FCA CF] Manager of certification employee (since 1 Feb 2025)
  • [FCA CF] Significant management (since 1 Sep 2022)
• Emma Priestley

  IRN EXP00169

  • [FCA CF] Significant management (1 Sep 2022 to 7 Mar 2024)
• Evie Di Nonno

  IRN EXF00151

  • 14. Managing investments
  • 10. Broker fund adviser
  • [FCA CF] Manager of certification employee (since 1 Feb 2025)
  • [FCA CF] Functions requiring qualifications (since 4 Mar 2024)
  • [FCA CF] Client dealing (since 4 Mar 2024)
  • [FCA CF] Significant management (since 12 Sep 2023)

• Prism Investments Limited

  FRN 985711 · Appointed 21 Oct 2022

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