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Smith, Nicholas James (SFC:AUE009) Hong Kong SFC License Details (ID 95952)
Smith, Nicholas James (SFC:AUE009)
SFC ID:
AUE009
Key Data
SFC Licenses
Public Disciplinary Actions
SFC licenses
A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.
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Organisation
Role
Activity
From
Until
BGC SECURITIES (HONG KONG) LLC
Rep
Dealing in securities
2019-06-03
2023-09-29
T.F.S. Derivatives HK Limited
Rep
Dealing in securities
2009-11-24
2019-02-12