Nichols, Stephen James (SFC:ACJ658)
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 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2006-04-07 | 2007-10-15 | RO | Dealing in securities | 2007-10-15 | 2010-06-30 |
| 2 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2006-04-07 | 2007-10-15 | Rep | Dealing in securities | 2006-04-07 | 2007-10-15 | RO | Dealing in futures contracts | 2007-10-15 | 2010-06-30 | RO | Dealing in securities | 2007-10-15 | 2010-06-30 |
| 3 | Jefferies Hong Kong Limited | Rep | Dealing in securities | 2011-02-02 | 2012-07-23 | RO | Dealing in securities | 2012-07-23 | 2015-12-16 |
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