Nicholas John Stevens

Watch for changes

Where they hold approval

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

Bank of America, N.A.
FRN 124642
- [FCA CF] Manager of certification employee (since 26 Sep 2024)
- [FCA CF] Client dealing (since 3 Jul 2024)
Merrill Lynch International
FRN 147150
- [FCA CF] Manager of certification employee (since 26 Sep 2024)
- [FCA CF] Client dealing (since 3 Jul 2024)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- [FCA CF] Client dealing (12 Jun 2017 to 24 Jun 2024)
- [FCA CF] Manager of certification employee (12 Jun 2017 to 24 Jun 2024)
Morgan Stanley Bank International Limited (no longer approved here)
FRN 195430
- [FCA CF] Client dealing (12 Jun 2017 to 24 Jun 2024)
- [FCA CF] Manager of certification employee (12 Jun 2017 to 24 Jun 2024)
Goldman Sachs International Bank (no longer approved here)
FRN 124659
- CF30 Customer (11 Apr 2013 to 6 Mar 2016)
Goldman Sachs Bank USA (no longer approved here)
FRN 582328
- CF30 Customer (21 Mar 2013 to 6 Mar 2016)

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.