Stephens, John William

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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 AM Investment Partners HK, Limited Rep Asset management 2009-06-25 2009-09-30
2 CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED Rep Advising on securities 2013-06-11 2013-07-26
Rep Dealing in securities 2013-06-11 2013-08-17
RO Advising on securities 2013-07-26 2013-08-17
3 Credit Agricole Securities (Asia) Limited Rep Dealing in securities 2012-08-07 2012-11-13
4 Credit Suisse (Hong Kong) Limited Rep Advising on futures contracts 2020-01-22 2020-04-02
Rep Advising on securities 2020-02-04 2020-04-02
RO Advising on futures contracts 2020-04-02 2023-09-20
RO Advising on securities 2020-04-02 2023-09-20
5 DEEPHAVEN ASIA LIMITED Rep Advising on securities 2007-06-04 2009-02-24
Rep Asset management 2007-07-09 2009-02-24
6 DEUTSCHE SECURITIES ASIA LIMITED Rep Advising on futures contracts 2017-05-17 2017-12-15
RO Advising on futures contracts 2017-12-15 2019-12-03
7 Knight Capital Asia Limited Rep Advising on securities 2010-09-09 2011-01-05
Rep Dealing in securities 2010-09-09 2011-08-04
RO Advising on securities 2011-01-05 2011-08-04
8 MF Securities Hong Kong Limited Rep Advising on securities 2010-05-03 2010-07-12
9 SATTVA INVESTMENT ADVISORS LIMITED RO Advising on futures contracts 2003-10-30 2007-05-18
RO Advising on securities 2003-10-30 2007-05-18
10 UBS SECURITIES ASIA LIMITED Rep Advising on securities 2023-10-09

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