Stephen McDowell

Watch for changes

Where they hold approval

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

Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- [FCA CF] Proprietary trader (8 Feb 2022 to 5 May 2023)
- [FCA CF] Client dealing (7 Sep 2016 to 8 Feb 2022)
- [FCA CF] Manager of certification employee (7 Mar 2016 to 5 May 2023)
- CF30 Customer (24 Sep 2012 to 6 Mar 2016)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (15 Sep 2008 to 26 Jun 2012)
- CF21 Investment Adviser (11 May 2005 to 31 Oct 2007)
Santander Financial Services plc (no longer approved here)
FRN 146003
- CF21 Investment Adviser (1 Dec 2001 to 29 Mar 2005)

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.