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.

Candice Berman
IRN CXB00478
- [FCA CF] Client dealing (9 Aug 2023 to 3 May 2024)
Christopher Hale Williams
IRN CHW01034
- CF1 Director (3 Jan 2012 to 12 Nov 2015)
Christopher Lawrence Brook Darlington
IRN CLD01013
- CF30 Customer (10 Feb 2016 to 8 Dec 2019)
Corey Doyle Stock
IRN CXS00860
- [FCA CF] Client dealing (20 May 2024 to 22 May 2025)
Dainora Miliauskaite
IRN DXM03043
- [FCA CF] Client dealing (since 5 Feb 2024)
Daniel Drazen
IRN DXD00269
- [FCA CF] Client dealing (since 28 Feb 2022)
Daniel Eric Logue
IRN DEL01051
- CF30 Customer (3 Jan 2012 to 12 Sep 2013)
Danielius Uznys
IRN DXU01040
- [FCA CF] Client dealing (9 Dec 2019 to 1 Jan 2021)
- CF30 Customer (14 Aug 2015 to 8 Dec 2019)
Edward Ian Arkus
IRN EIA01002
- SMF3 Executive Director (since 10 Mar 2020)
- CF30 Customer (10 Feb 2016 to 8 Dec 2019)
Edward West Valentine
IRN EWV01003
- CF1 Director (3 Jan 2012 to 15 Oct 2019)

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.