Harwood Private Capital LLP

Date authorised
1 February 2019
Companies House
OC421665
Last scraped
1 week ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    6 Stratton Street
    Mayfair
    London
    W1J 8LD
    UNITED KINGDOM
    Phone
    +4402076403200
    Web
    https://www.harwoodpc.com

  • Complaints Contact

    6 Stratton Street
    Mayfair
    London
    W1J 8LD
    UNITED KINGDOM
    Phone
    +442076403200

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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 Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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 Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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 Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), 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), Share, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • 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
    • 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
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • SMF27 Partner (since 10 Apr 2025)
    • [FCA CF] Functions requiring qualifications (since 31 Mar 2025)
    • [FCA CF] Client dealing (since 31 Mar 2025)
    • [FCA CF] Material risk taker (since 31 Mar 2025)
    • [FCA CF] Significant management (since 31 Mar 2025)
  • Ryan David Douglas Corton

    IRN RDC01061

    • CF28 Systems and controls (1 Feb 2019 to 30 Jun 2019)
  • Syed Arafat Hussain Shah

    IRN SAS01323

    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (1 Feb 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Feb 2019 to 8 Dec 2019)

Recent activity

Updates to this firm's record on the FCA register.

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