Alexander David Waller

Watch for changes

Where they hold approval

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

Arcmont Asset Management Limited
FRN 845535
- [FCA CF] Client dealing (since 11 Nov 2025)
- [FCA CF] Material risk taker (since 11 Nov 2025)
PATRIZIA Infrastructure Ltd (no longer approved here)
FRN 599417
- [FCA CF] Manager of certification employee (9 Dec 2019 to 8 May 2025)
- [FCA CF] Client dealing (9 Dec 2019 to 8 May 2025)
- [FCA CF] Material risk taker (9 Dec 2019 to 16 Feb 2023)
- CF30 Customer (21 Jul 2014 to 8 Dec 2019)
CHALLENGER MANAGEMENT SERVICES (UK) LIMITED (no longer approved here)
FRN 478306
- CF30 Customer (8 Sep 2008 to 26 Jan 2015)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- CF21 Investment Adviser (10 Dec 2002 to 27 Feb 2003)

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.