Anthony Stern

Watch for changes

Where they hold approval

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

Stifel Nicolaus Europe Limited (no longer approved here)
FRN 190412
- [FCA CF] Client dealing (9 Dec 2019 to 14 Apr 2022)
- CF30 Customer (5 Mar 2015 to 8 Dec 2019)
Alternatives St James LLP (no longer approved here)
FRN 430914
- CF1 Director (AR) (15 Sep 2015 to 31 Aug 2023)
- CF30 Customer (15 Sep 2015 to 31 Aug 2023)
Berkeley Asset Management LLP (no longer approved here)
FRN 500710
- CF30 Customer (27 Feb 2012 to 18 Sep 2015)

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.