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.

• Maizie Wooldridge

  IRN MXW00750

  • [FCA CF] Functions requiring qualifications (30 May 2023 to 20 Dec 2024)
  • [FCA CF] Client dealing (30 May 2023 to 20 Dec 2024)
• Mark Wiggins

  IRN MXW00614

  • [FCA CF] Significant management (1 Sep 2022 to 26 Dec 2024)
• Matthew Munday

  IRN MXM04524

  • 10. Broker fund adviser
  • 14. Managing investments
  • [FCA CF] Client dealing (since 1 Feb 2025)
  • [FCA CF] Functions requiring qualifications (since 1 Feb 2025)
• Michael Antony Pizzoferro

  IRN MAP01232

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Jan 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Jan 2025)
  • CF30 Customer (5 Jan 2018 to 8 Dec 2019)
• Oluwaseun Ayokunle Dada

  IRN OAD01013

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2025)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2025)
  • CF30 Customer (24 Feb 2017 to 8 Dec 2019)
• Paul Anthony Dunne

  IRN PAD01171

  • 14. Managing investments
  • 10. Broker fund adviser
  • [FCA CF] Client dealing (since 24 Jan 2023)
  • [FCA CF] Functions requiring qualifications (since 24 Jan 2023)
  • CF1 Director (AR) (since 7 Dec 2022)
  • CF3 Chief Executive (AR) (since 7 Dec 2022)
  • SMF3 Executive Director (since 21 Nov 2022)
  • SMF1 Chief Executive (since 21 Nov 2022)
  • [FCA CF] Manager of certification employee (1 Sep 2022 to 21 Nov 2022)
  • [FCA CF] Significant management (1 Sep 2022 to 21 Nov 2022)
• Phoebe Mills

  IRN PXM00488

  • [FCA CF] Client dealing (6 Jul 2022 to 20 Dec 2024)
  • [FCA CF] Functions requiring qualifications (6 Jul 2022 to 20 Dec 2024)
• Robert Douglas Stark

  IRN RXS00422

  • [FCA CF] Significant management (9 Dec 2019 to 2 Nov 2021)
• Sarah Louise Spicer

  IRN SXS00545

  • [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2022)
• Shannon Lee

  IRN SXL00653

  • [FCA CF] Significant management (since 12 Sep 2023)

• Prism Investments Limited

  FRN 985711 · Appointed 21 Oct 2022

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