Harris Williams & Co. Ltd

Watch for changes

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
Show 1 limitation Hide limitations
- · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
Authorised to Operate
Show 1 limitation Hide limitations
- · 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
Show 1 limitation Hide limitations
- · 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
Show 1 limitation Hide limitations
- · 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.

Faye Marie Maughan
IRN FMM01061
- CF30 Customer (1 Mar 2017 to 19 Jul 2019)
Francois Morin
IRN FXM01134
- CF30 Customer (3 Jan 2012 to 4 Aug 2014)
Guterre Quarenta Roberto de Menezes Montenegro
IRN GXQ00015
- [FCA CF] Client dealing (12 Dec 2023 to 31 Jan 2025)
Jannik Raphael Burth
IRN JXB03786
- [FCA CF] Client dealing (since 22 May 2024)
Jason Sarro
IRN JXS01033
- [FCA CF] Client dealing (25 Jul 2022 to 14 Jul 2023)
Jeffery Perkins
IRN JXP01482
- CF29 Significant management (20 Jun 2013 to 8 Dec 2019)
Jeremy Zucker
IRN JXZ19056
- [FCA CF] Client dealing (since 12 Dec 2023)
John Elie Levy
IRN JXL00164
- [FCA CF] Client dealing (9 Dec 2019 to 4 Aug 2021)
Jonathan Abecassis
IRN JXA01464
- [FCA CF] Client dealing (since 5 Feb 2024)
Jonathan Michael Organ
IRN JMO01091
- CF30 Customer (12 Sep 2013 to 7 Dec 2017)

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.