Stephen William Black

Last updated
6 days ago
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Where they hold approval

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

  • Kinetic Private Investments Limited

    FRN 954553

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 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
    • 17. Administrative functions in relation to managing investments
    • 14. Managing investments
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Significant management (since 15 Dec 2022)
    • Responsible for Insurance Distribution (since 15 Dec 2022)
    • SMF16 Compliance Oversight (since 15 Dec 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 Dec 2022)
    • SMF3 Executive Director (since 15 Dec 2022)
    • [FCA CF] Client dealing (since 15 Dec 2022)
    • [FCA CF] Functions requiring qualifications (since 15 Dec 2022)
  • Lowes Financial Management Limited (no longer approved here)

    FRN 114650

    • Director of firm who is not a certification employee or a SMF manager (14 Jan 2021 to 30 Sep 2022)
  • Lowes Investment Management Limited (no longer approved here)

    FRN 192938

    • Director of firm who is not a certification employee or a SMF manager (14 Jan 2021 to 30 Sep 2022)
  • Tier One Capital Ltd (no longer approved here)

    FRN 583021

    • Responsibility for MCD Intermediation (21 Mar 2016 to 2 Jul 2018)
    • Responsible for Insurance Mediation (28 Feb 2013 to 10 Jun 2015)
    • CF30 Customer (28 Feb 2013 to 8 Oct 2018)
    • CF1 Director (28 Feb 2013 to 8 Oct 2018)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF30 Customer (27 Jun 2011 to 27 Apr 2012)
  • BARCLAYS INVESTMENT SOLUTIONS LIMITED (no longer approved here)

    FRN 155595

    • CF30 Customer (10 Jul 2009 to 20 May 2010)

Recent activity

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

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