Raphael Stern

Last updated
2 weeks ago
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Where they hold approval

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

  • Invesco Asset Management Limited

    FRN 122674

    • 14. Managing investments
    • [FCA CF] Material risk taker (since 7 Jan 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF18 Other Overall Responsibility (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF29 Significant management (22 Nov 2019 to 8 Dec 2019)
    • CF30 Customer (27 Mar 2018 to 8 Dec 2019)
  • DWS Investments UK Limited (no longer approved here)

    FRN 429806

    • CF30 Customer (16 Dec 2015 to 27 Oct 2017)
  • VANGUARD ASSET MANAGEMENT, LTD. (no longer approved here)

    FRN 527839

    • CF30 Customer (19 Mar 2012 to 5 Nov 2015)

Recent activity

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

No changes recorded yet.