Stearn, Nicholas Antony
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
Some data are hidden to fit your display. Rotate?
| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-05-29 | 2010-09-02 |
| 2 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2007-05-29 | 2015-09-04 |
| 3 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2007-05-29 | 2015-09-04 |
| 4 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2010-09-02 | 2015-09-04 |
| 5 | Merrill Lynch (Asia Pacific) Limited | RO | Dealing in securities | 2015-09-04 | 2016-04-05 |
| 6 | Merrill Lynch Far East Limited | RO | Dealing in futures contracts | 2015-09-04 | 2016-04-05 |
| 7 | Merrill Lynch Far East Limited | RO | Dealing in securities | 2015-09-04 | 2016-04-05 |
| 8 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2016-07-07 | 2023-02-28 |
| 9 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2016-07-07 | 2023-02-28 |
| 10 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Advising on securities | 2016-07-07 | 2023-02-28 |
| 11 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Dealing in securities | 2016-07-07 | 2023-02-28 |
| 12 | J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | Advising on futures contracts | 2023-02-28 | |
| 13 | J.P. MORGAN BROKING (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2023-02-28 | |
| 14 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | RO | Advising on securities | 2023-02-28 | |
| 15 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | RO | Dealing in securities | 2023-02-28 |
Sign up for our free newsletter
Recommend Webb-site to a friend
Copyright & disclaimer, Privacy policy