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.

• Maarten Duncan Hemsley

  IRN MDH01064

  • CF30 Customer (1 Nov 2007 to 31 Mar 2012)
  • CF27 Investment Management (15 Mar 2006 to 31 Oct 2007)
  • CF4 Partner (8 Jun 2005 to 31 Mar 2012)
• Max Tamati Lesser

  IRN MTL01047

  • CF30 Customer (20 Feb 2012 to 20 Sep 2013)
• Michael Geoffrey Jordan

  IRN MXJ11477

  • CF30 Customer (18 Feb 2019 to 17 Jul 2019)
• Michael Hugh Hayes

  IRN MHH01049

  • CF30 Customer (28 Feb 2011 to 30 Sep 2012)
  • CF4 Partner (28 Feb 2011 to 30 Sep 2012)
• Nichola Pease

  IRN NXP01133

  • CF2 Non Executive Director (13 Jan 2010 to 26 Oct 2011)
  • CF4 Partner (23 Sep 2003 to 23 May 2009)
  • CF8 Apportionment and Oversight (23 Sep 2003 to 31 Oct 2007)
  • CF3 Chief Executive (23 Sep 2003 to 3 Nov 2008)
• Nicholas Harwood Bertram Mills

  IRN NXM10668

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
  • 16. Safeguarding and administering investments or holding client money
  • 17. Administrative functions in relation to managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (25 Jan 2019 to 8 Dec 2019)
• Nicholas Herford Pitt-Lewis

  IRN NHP01010

  • CF10 Compliance Oversight (4 Apr 2006 to 1 Oct 2011)
  • CF11 Money Laundering Reporting (4 Apr 2006 to 1 Oct 2011)
• Peter Leslie Urry

  IRN PLU00002

  • CF30 Customer (1 Nov 2007 to 31 Oct 2008)
  • CF26 Customer Trading (13 Sep 2006 to 31 Oct 2007)
• Philip Mark Watson

  IRN PMW01062

  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 14. Managing investments
  • 16. Safeguarding and administering investments or holding client money
  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Client dealing (since 1 Dec 2023)
  • [FCA CF] Significant management (since 1 Dec 2023)
  • [PRA CF] Significant risk taker or Material risk taker (since 1 Dec 2023)
  • [FCA CF] Material risk taker (since 1 Dec 2023)
  • [FCA CF] Functions requiring qualifications (since 1 Dec 2023)
• Richard Adam Staveley

  IRN RAS01132

  • 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
  • 14. Managing investments
  • 8. Giving personal recommendations on investments in the course of corporate finance business
  • 17. Administrative functions in relation to managing investments
  • 16. Safeguarding and administering investments or holding client money
  • [FCA CF] Material risk taker (since 21 Mar 2022)
  • [FCA CF] Client dealing (since 21 Mar 2022)
  • [FCA CF] Significant management (since 21 Mar 2022)
  • [FCA CF] Functions requiring qualifications (since 21 Mar 2022)
  • SMF27 Partner (1 Aug 2023 to 31 Mar 2025)

• Harwood Private Capital LLP (no longer appointed)

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

No changes recorded yet.