Stefano Del Federico

Last updated
5 days ago
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Where they hold approval

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

  • Alpha Investment Office Limited

    FRN 1019537

    • 16. Safeguarding and administering investments or holding client money
    • 14. Managing investments
    • 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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 17. Administrative functions in relation to managing investments
    • [FCA CF] Functions requiring qualifications (since 2 Jul 2025)
    • [FCA CF] Client dealing (since 2 Jul 2025)
    • SMF3 Executive Director (since 2 Jul 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 Jul 2025)
    • SMF16 Compliance Oversight (since 2 Jul 2025)
    • [FCA CF] Manager of certification employee (since 2 Jul 2025)
    • SMF1 Chief Executive (since 2 Jul 2025)
    • Responsible for Insurance Distribution (since 2 Jul 2025)
  • TPIO Limited (no longer approved here)

    FRN 835577

    • CF1 Director (AR) (23 Nov 2021 to 5 Aug 2024)
    • SMF3 (AR) Executive Director function (23 Nov 2021 to 5 Aug 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Dec 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 9 Dec 2025)
    • SMF3 Executive Director (9 Dec 2019 to 24 Jul 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 9 Jul 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 9 Jul 2024)
    • Responsible for Insurance Distribution (2 Sep 2019 to 9 Jul 2024)
    • Responsibility for MCD Intermediation (2 Sep 2019 to 9 Jul 2024)
    • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Sep 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Sep 2019 to 8 Dec 2019)
    • CF1 Director (2 Sep 2019 to 8 Dec 2019)
  • Stonecross Investment Office Limited (no longer approved here)

    FRN 952841

    • (3)Employed By (23 Nov 2021 to 25 Nov 2025)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Mar 2020)
    • CF30 Customer (8 Jan 2016 to 8 Dec 2019)
  • Aspinalls Family Office LLP (no longer approved here)

    FRN 514965

    • Responsible for Insurance Mediation (3 Jan 2013 to 5 Nov 2014)
    • CF4 Partner (1 Oct 2011 to 5 Nov 2014)
    • CF30 Customer (1 Jun 2010 to 5 Nov 2014)
  • Union Bancaire Privée (UK) Limited (no longer approved here)

    FRN 119250

    • CF30 Customer (22 Mar 2012 to 4 Jan 2016)

Recent activity

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

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