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

  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.

• 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

  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.

• 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

  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.

• 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.

• Gavin Mark Rochussen

  IRN GMR01053

  • CF3 Chief Executive (3 Nov 2008 to 30 Sep 2011)
  • CF4 Partner (3 Nov 2008 to 30 Sep 2011)
• Graham Warner

  IRN GXW01161

  • CF28 Systems and controls (1 Nov 2007 to 26 Oct 2012)
  • CF13 Finance (23 Sep 2003 to 31 Oct 2007)
• Harry Mills

  IRN HXM01804

  • SMF27 Partner (30 Apr 2021 to 21 Dec 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Dec 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Dec 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 21 Dec 2022)
• Haseeb Ahmed Aziz

  IRN HAA01026

  • CF30 Customer (21 May 2018 to 1 Feb 2019)
• James Daryl Hambro

  IRN JDH01067

  • CF4 Partner (23 Sep 2003 to 26 Oct 2011)
• James Douglas Agnew

  IRN JDA01040

  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Dec 2022)
  • SMF27 Partner (9 Dec 2019 to 21 Dec 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Dec 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 21 Dec 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (29 May 2007 to 31 Oct 2007)
  • CF4 Partner (5 Dec 2006 to 8 Dec 2019)
• Jeremy James Brade

  IRN JJB01110

  • [FCA CF] Significant management (9 Dec 2019 to 21 Dec 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Dec 2022)
  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Dec 2022)
  • SMF27 Partner (9 Dec 2019 to 21 Dec 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF4 Partner (24 Oct 2003 to 8 Dec 2019)
  • CF27 Investment Management (23 Sep 2003 to 31 Oct 2007)
• John Paul Cameron

  IRN JPC01085

  • CF30 Customer (1 Nov 2007 to 28 Feb 2009)
  • CF27 Investment Management (23 Sep 2003 to 31 Oct 2007)
• Keith Andrew Jelley

  IRN KAJ01017

  • CF30 Customer (20 Jun 2012 to 8 Jul 2019)
  • CF4 Partner (20 Jun 2012 to 8 Jul 2019)
• Louis Oswald de Kock

  IRN LOD01000

  • CF30 Customer (7 Jul 2010 to 7 Oct 2011)

• Harwood Private Capital LLP (no longer appointed)

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

No changes recorded yet.