Harris Williams & Co. Ltd

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Addresses

The contact details this firm has registered with the FCA.

The regulated activities the FCA has granted this firm permission to carry out.

Investment Advice (no pensions)

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" 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 Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Investment Setup

For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant
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- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

Senior staff personally approved by the FCA to hold their roles here.

Aadil Khan
IRN AXK02780
- CF1 Director (27 Nov 2015 to 31 Dec 2018)
Alan Rodriguez-Villares
IRN AXR02407
- [FCA CF] Client dealing (25 Jul 2022 to 5 May 2023)
Alex Joseph Murrill
IRN AJM01605
- CF30 Customer (3 Jan 2012 to 29 Apr 2016)
Alexander O'Brien
IRN AXO00331
- [FCA CF] Client dealing (23 Dec 2024 to 22 May 2025)
Allison Louise Smith
IRN ALS01110
- CF11 Money Laundering Reporting (12 Nov 2013 to 10 Aug 2015)
- CF10 Compliance Oversight (12 Nov 2013 to 10 Aug 2015)
Andrey Dvorkin
IRN AXD02591
- [FCA CF] Client dealing (29 Nov 2022 to 23 Jan 2026)
Ashley Van der Waag
IRN AXV09891
- CF1 Director (31 Jan 2019 to 15 Oct 2019)
Aswin Lizen
IRN AXL00474
- [FCA CF] Client dealing (26 Aug 2022 to 13 Jul 2023)
Ben Lewis
IRN BXL01223
- CF30 Customer (25 Sep 2013 to 12 Oct 2015)
Brian Titterington
IRN BXT00487
- [FCA CF] Client dealing (since 24 Jul 2025)

Updates to this firm's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Any firm offering these services has to be authorised by the FCA.
Permissions: The specific regulated activities a firm is allowed to carry out, like advising on insurance, lending money or arranging investments. Anything outside this list isn't covered.
Approved individuals: Senior staff (directors, compliance officers and similar) have to be approved by the FCA personally before they can take up the role. They're held accountable for the firm's conduct.
Appointed representatives: Smaller firms can do regulated business under another firm's authorisation rather than getting their own. The bigger firm (the 'principal') is legally on the hook for what they do.

Information on this page is sourced from the official FCA register.