HAROLD ALAN JOHN NORWOOD

Last updated
2 weeks ago
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Where they hold approval

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

  • Shard Capital Partners LLP

    FRN 538762

    • 13. Giving personal recommendations on and dealing with derivatives
    • 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
    • 17. Administrative functions in relation to managing investments
    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Proprietary trader (since 9 Oct 2024)
    • [FCA CF] Client dealing (since 9 Oct 2024)
    • [FCA CF] Functions requiring qualifications (since 9 Oct 2024)
    • [FCA CF] Material risk taker (since 9 Oct 2024)
  • SI Capital Ltd (no longer approved here)

    FRN 230687

    • [FCA CF] Functions requiring qualifications (8 Feb 2024 to 5 Aug 2024)
    • [FCA CF] Client dealing (8 Feb 2024 to 5 Aug 2024)
  • Optiva Securities Limited (no longer approved here)

    FRN 181192

    • [FCA CF] Client dealing (9 Dec 2020 to 17 Jan 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2020 to 17 Jan 2024)
    • CF30 Customer (1 Mar 2013 to 8 Dec 2019)

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

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