Mr William Harris

• Principal Place of Business

  Lakeside House

  Lakeside Court

  Llantarnam Park Way

  Cwmbran

  NP44 3GA

  UNITED KINGDOM

  Phone

  +4401633869000

  Web

  https://www.lawrencemiller.co.uk

• Complaints Contact

  Lakeside House

  Lakeside Court

  Llantarnman Park Way

  Cwmbran

  NP44 3GA

  UNITED KINGDOM

  Phone

  +4401633869000

• P2P Lending Advice

  For Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Investment Advice (no pensions)

  For Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, 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.

• Beverley Jayne Yeoman

  IRN BJY01005

  • CF30 Customer (1 May 2011 to 26 Oct 2011)
• Ian Paul Rosser

  IRN IPR01017

  • CF30 Customer (7 Jul 2015 to 30 Apr 2018)
• Mark Anthony Carnevale

  IRN MAC00055

  • [FCA CF] Functions requiring qualifications (18 Mar 2021 to 14 Dec 2023)
  • [FCA CF] Client dealing (18 Mar 2021 to 14 Dec 2023)
  • CF30 Customer (8 Dec 2017 to 8 Dec 2019)
• Paul Marcus Thomas

  IRN PMT01076

  • [FCA CF] Functions requiring qualifications (17 Mar 2021 to 23 Jun 2023)
• Paul Phillip Bennett

  IRN PPB01021

  • CF30 Customer (1 Aug 2013 to 16 May 2018)
• Penny Ann Lambert-Jones

  IRN PAL01166

  • CF30 Customer (4 Jan 2010 to 23 Dec 2011)
• Simon Griffiths

  IRN SJG00006

  • CF30 Customer (23 Jan 2015 to 10 Jun 2015)
• Stephen Glyn Thomas

  IRN SGT00008

  • CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2003)
• William John Harris

  IRN WJH00007

  • 14. Managing investments
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Significant management (since 17 Mar 2021)
  • Sole trader dealing with clients for which they require qualification (since 17 Mar 2021)
  • [FCA CF] Client dealing (since 17 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 17 Mar 2021)
  • [FCA CF] Manager of certification employee (since 17 Mar 2021)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • CF11 Money Laundering Reporting (5 Jul 2012 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF7 Sole Trader (1 Dec 2001 to 31 Jan 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)

No changes recorded yet.