Stephen Dowds

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.

  • Hay Hill Wealth Management Limited

    FRN 453682

    • 14. Managing investments
    • 3. Giving personal recommendations on derivatives
    • 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 20 Jan 2023)
    • [FCA CF] Client dealing (since 9 Sep 2020)
    • CF30 Customer (26 Jul 2016 to 8 Dec 2019)
  • South River Asset Management Limited (no longer approved here)

    FRN 197097

    • CF3 Chief Executive (10 Jun 2014 to 15 Jul 2014)
    • CF1 Director (24 May 2011 to 15 Jul 2014)
    • CF30 Customer (24 May 2011 to 3 Jun 2016)
  • Northern Trust Global Investments Limited (no longer approved here)

    FRN 191916

    • CF30 Customer (1 Nov 2007 to 27 Mar 2009)
    • CF27 Investment Management (19 Mar 2004 to 31 Oct 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (19 Mar 2004 to 20 Oct 2004)
  • The Northern Trust Company (no longer approved here)

    FRN 122020

    • CF27 Investment Management (19 Mar 2004 to 14 Jul 2006)
  • BELLECAPITAL UK LIMITED (no longer approved here)

    FRN 140948

    • CF27 Investment Management (1 Dec 2001 to 31 Dec 2003)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Dec 2003)
    • CF1 Director (1 Dec 2001 to 31 Dec 2003)

Recent activity

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

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