Herman, Neal Thomson
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.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | Dealing in securities | 2011-11-04 | 2012-12-01 | Rep | Advising on securities | 2011-11-23 | 2012-12-01 |
| 2 | CLSA LIMITED | Rep | Dealing in securities | 2024-05-31 | 2024-06-08 | Rep | Dealing in securities | 2025-03-28 | 2025-04-02 |
| 3 | Knight Capital Asia Limited | Rep | Advising on securities | 2010-07-29 | 2011-08-04 | Rep | Dealing in securities | 2010-07-29 | 2011-08-19 |
| 4 | Sanford C. Bernstein (Hong Kong) Limited | Rep | Advising on securities | 2013-01-07 | 2014-07-14 | Rep | Dealing in securities | 2013-01-07 | 2014-07-14 | Rep | Advising on securities | 2014-09-17 | 2014-09-29 | Rep | Dealing in securities | 2014-09-17 | 2014-09-29 | Rep | Advising on securities | 2017-11-06 | 2017-11-07 |
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