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.

• Shaun Blake

  IRN SXB23666

  • 10. Broker fund adviser
  • 11. Pension transfer specialist
  • 14. Managing investments
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Manager of certification employee (since 8 Feb 2024)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (12 Nov 2019 to 8 Dec 2019)
• Steven Priestley

  IRN SXP00670

  • [FCA CF] Functions requiring qualifications (29 Sep 2022 to 27 Jun 2024)
  • [FCA CF] Client dealing (29 Sep 2022 to 27 Jun 2024)
• Timothy David Moore

  IRN TDM01046

  • SMF3 Executive Director (9 Dec 2019 to 25 May 2022)
  • CF1 Director (24 Feb 2017 to 8 Dec 2019)
• Zachary Quinn

  IRN ZXQ00007

  • [FCA CF] Client dealing (2 Aug 2022 to 25 Apr 2023)
  • [FCA CF] Functions requiring qualifications (2 Aug 2022 to 25 Apr 2023)

• Prism Investments Limited

  FRN 985711 · Appointed 21 Oct 2022

No changes recorded yet.