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.

• Hassan Oni-Orisan

  IRN HXO00047

  • [FCA CF] Client dealing (6 Jul 2022 to 31 Dec 2023)
  • [FCA CF] Functions requiring qualifications (6 Jul 2022 to 31 Dec 2023)
• Jack Harris

  IRN JXH00946

  • [FCA CF] Functions requiring qualifications (16 Aug 2022 to 26 Oct 2022)
  • [FCA CF] Client dealing (16 Aug 2022 to 26 Oct 2022)
• Jake Daniel Constable

  IRN JXC01064

  • [FCA CF] Functions requiring qualifications (1 Dec 2022 to 20 Feb 2025)
  • [FCA CF] Client dealing (1 Dec 2022 to 20 Feb 2025)
• Jamie Smith-Thompson

  IRN JXS01903

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Apr 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 14 Apr 2023)
  • SMF3 Executive Director (9 Dec 2019 to 14 Apr 2023)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 14 Apr 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 14 Apr 2023)
  • CF30 Customer (24 Feb 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (24 Feb 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (24 Feb 2017 to 8 Dec 2019)
  • CF1 Director (24 Feb 2017 to 8 Dec 2019)
• Jasbir Singh Kanda

  IRN JXK00561

  • [FCA CF] Functions requiring qualifications (7 Sep 2023 to 28 Jul 2024)
  • [FCA CF] Client dealing (7 Sep 2023 to 28 Jul 2024)
• Joe Kenneth Parker

  IRN JKP01040

  • CF30 Customer (2 Jun 2017 to 21 Aug 2019)
• Keith Arthur Carby

  IRN KAC01029

  • SMF9 Chair of the Governing Body (since 21 Dec 2023)
• Kevin Keane

  IRN KXK01869

  • CF1 Director (AR) (24 Oct 2022 to 16 Apr 2025)
  • SMF3 Executive Director (9 Dec 2019 to 16 Apr 2025)
  • CF1 Director (12 Aug 2019 to 8 Dec 2019)
• Lewis Date

  IRN LXD00383

  • [FCA CF] Functions requiring qualifications (28 May 2024 to 2 Sep 2024)
  • [FCA CF] Client dealing (28 May 2024 to 2 Sep 2024)
• Luis Andres Hernandez Sanchez

  IRN LXH00356

  • 10. Broker fund adviser
  • 11. Pension transfer specialist
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 14. Managing investments
  • [FCA CF] Client dealing (since 30 Mar 2022)
  • [FCA CF] Functions requiring qualifications (since 30 Mar 2022)

• Prism Investments Limited

  FRN 985711 · Appointed 21 Oct 2022

No changes recorded yet.