Stephens, John William
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 | SATTVA INVESTMENT ADVISORS LIMITED | RO | Advising on futures contracts | 2003-10-30 | 2007-05-18 |
| 2 | SATTVA INVESTMENT ADVISORS LIMITED | RO | Advising on securities | 2003-10-30 | 2007-05-18 |
| 3 | DEEPHAVEN ASIA LIMITED | Rep | Advising on securities | 2007-06-04 | 2009-02-24 |
| 4 | DEEPHAVEN ASIA LIMITED | Rep | Asset management | 2007-07-09 | 2009-02-24 |
| 5 | AM Investment Partners HK, Limited | Rep | Asset management | 2009-06-25 | 2009-09-30 |
| 6 | MF Securities Hong Kong Limited | Rep | Advising on securities | 2010-05-03 | 2010-07-12 |
| 7 | Knight Capital Asia Limited | Rep | Advising on securities | 2010-09-09 | 2011-01-05 |
| 8 | Knight Capital Asia Limited | Rep | Dealing in securities | 2010-09-09 | 2011-08-04 |
| 9 | Knight Capital Asia Limited | RO | Advising on securities | 2011-01-05 | 2011-08-04 |
| 10 | Credit Agricole Securities (Asia) Limited | Rep | Dealing in securities | 2012-08-07 | 2012-11-13 |
| 11 | CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | Advising on securities | 2013-06-11 | 2013-07-26 |
| 12 | CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | Dealing in securities | 2013-06-11 | 2013-08-17 |
| 13 | CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | RO | Advising on securities | 2013-07-26 | 2013-08-17 |
| 14 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Advising on futures contracts | 2017-05-17 | 2017-12-15 |
| 15 | DEUTSCHE SECURITIES ASIA LIMITED | RO | Advising on futures contracts | 2017-12-15 | 2019-12-03 |
| 16 | Credit Suisse (Hong Kong) Limited | Rep | Advising on futures contracts | 2020-01-22 | 2020-04-02 |
| 17 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2020-02-04 | 2020-04-02 |
| 18 | Credit Suisse (Hong Kong) Limited | RO | Advising on futures contracts | 2020-04-02 | 2023-09-20 |
| 19 | Credit Suisse (Hong Kong) Limited | RO | Advising on securities | 2020-04-02 | 2023-09-20 |
| 20 | UBS SECURITIES ASIA LIMITED | Rep | Advising on securities | 2023-10-09 |
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