David John Lloyd Harris

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

Thornbridge Investment Management LLP
FRN 713859
- CF1 Director (AR) (since 14 Jul 2023)
- CF30 Customer (since 14 Jul 2023)
- [FCA CF] Client dealing (17 Apr 2023 to 14 Jul 2023)
Cadarn Capital Ltd
FRN 998015
- Employed By (since 14 Jul 2023)
Frostrow Capital LLP (no longer approved here)
FRN 460360
- CF30 Customer (9 Oct 2018 to 8 Dec 2019)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF30 Customer (7 Feb 2011 to 22 Jul 2013)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.