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.

Michael George Osborne
IRN MXO18385
- [FCA CF] Client dealing (10 Dec 2019 to 1 Sep 2022)
- CF30 Customer (9 Aug 2019 to 8 Dec 2019)
Nick Koencke
IRN NXK00298
- [FCA CF] Client dealing (19 Aug 2024 to 25 Apr 2025)
Nitin Khattar
IRN NXK01284
- CF30 Customer (9 Jan 2012 to 17 Jun 2013)
Paul Thomas Poggi
IRN PTP01022
- SMF16 Compliance Oversight (since 11 May 2022)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 11 May 2022)
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (3 Jan 2012 to 8 Dec 2019)
Redvers James Norrie
IRN RJN01047
- CF30 Customer (3 Jan 2012 to 30 Sep 2015)
Rishabh Khattar
IRN RXK00533
- [FCA CF] Client dealing (since 23 May 2025)
Ruben Gil Pinheiro
IRN RXP00316
- [FCA CF] Client dealing (20 Sep 2021 to 27 Apr 2023)
Saajan Sappal
IRN SXS01343
- [FCA CF] Client dealing (since 22 May 2023)
Sainyam Gautam
IRN SXG00212
- [FCA CF] Client dealing (21 Sep 2022 to 5 Aug 2023)
Sam Krause
IRN SXK00991
- [FCA CF] Client dealing (since 21 Aug 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.