Harwood Capital LLP

• Principal Place of Business

  6 Stratton Street

  Mayfair

  London

  W1J 8LD

  UNITED KINGDOM

  Phone

  +4402076403200

  Web

  https://www.harwoodcapital.co.uk

• Complaints Contact

  6 Stratton St

  Mayfair

  London

  W1J 8LD

  UNITED KINGDOM

  Phone

  +4402076403200

• P2P Lending Advice

  For Professional

• Investment Advice (no pensions)

  For Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Stockbroking

  For Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Private Investment Funds

• Manages Your Portfolio

  For Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Holds Your Assets

  For Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Blake Andrew Nixon

  IRN BAN00021

  • CF30 Customer (20 Feb 2012 to 20 Sep 2013)
• Bonita Guntrip

  IRN BXG01325

  • CF11 Money Laundering Reporting (12 Apr 2012 to 30 Jul 2015)
  • CF10 Compliance Oversight (12 Apr 2012 to 30 Jul 2015)
• Charles Dominic Robert Clifford Groves

  IRN CDG01035

  • CF30 Customer (1 Nov 2007 to 8 Jun 2009)
  • CF4 Partner (26 Jan 2005 to 8 Jun 2009)
  • CF23 Corporate Finance Adviser (3 Oct 2003 to 23 Aug 2006)
  • CF27 Investment Management (3 Oct 2003 to 31 Oct 2007)
• Charles Patrick Harwood Mills

  IRN CPM01157

  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (6 Jun 2018 to 8 Dec 2019)
• Christopher Glenn Ward

  IRN CGW01058

  • CF30 Customer (26 Apr 2010 to 7 Oct 2011)
• Christopher Harwood Bernard Mills

  IRN CHM01031

  • 16. Safeguarding and administering investments or holding client money
  • 14. Managing investments
  • 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF3 Chief Executive (30 Sep 2011 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (12 Jan 2004 to 31 Oct 2007)
  • CF4 Partner (8 Jan 2004 to 9 Jun 2015)
• Christopher John Hart

  IRN CXH11795

  • SMF27 Partner (since 29 Jun 2023)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] CASS oversight function (since 9 Dec 2019)
  • CF30 Customer (6 Sep 2019 to 8 Dec 2019)
  • CF29 Significant management (26 Mar 2019 to 8 Dec 2019)
  • CF10a CASS Oversight function (26 Mar 2019 to 8 Dec 2019)
  • CF28 Systems and controls (26 Mar 2019 to 8 Dec 2019)
• Daniel John Knowles

  IRN DJK01052

  • CF30 Customer (13 May 2010 to 7 Oct 2011)
• Faye Elizabeth Foster

  IRN FEF01006

  • CF30 Customer (1 Nov 2007 to 30 Jun 2012)
  • CF27 Investment Management (10 Oct 2003 to 31 Oct 2007)
  • CF4 Partner (10 Oct 2003 to 30 Jun 2012)
• Faye Richards

  IRN FLR00007

  • CF30 Customer (23 Apr 2010 to 12 Nov 2012)

• Harwood Private Capital LLP (no longer appointed)

  FRN 809216 · Appointed 16 May 2018 · Until 1 Feb 2019

No changes recorded yet.