Alexander Raphael De Stefano

Watch for changes

Where they hold approval

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

PARTNERS GROUP (UK) LIMITED
FRN 401307
- [FCA CF] Client dealing (since 20 Sep 2024)
Nuveen Investment Management International Limited (no longer approved here)
FRN 141668
- [FCA CF] Client dealing (4 Oct 2021 to 12 Jun 2024)
Nuveen Management AIFM Limited (no longer approved here)
FRN 194149
- [FCA CF] Client dealing (4 Oct 2021 to 20 Jan 2023)
SEI Investments (Europe) Ltd (no longer approved here)
FRN 191713
- [FCA CF] Client dealing (5 Mar 2021 to 11 Jun 2021)
- CF30 Customer (19 Dec 2017 to 8 Dec 2019)
Wellington Management International Limited (no longer approved here)
FRN 208573
- CF30 Customer (1 Nov 2007 to 31 Dec 2016)
- CF21 Investment Adviser (10 Feb 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (22 Mar 2005 to 10 Feb 2006)

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.