Rhodes, Jordan James
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in futures contracts | 2024-09-04 | Rep | Dealing in securities | 2024-09-04 |
| 2 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2014-06-12 | 2018-06-01 |
| 3 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2018-08-07 | 2021-09-06 |
| 4 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2018-08-07 | 2021-09-06 |
| 5 | WHARTON INVESTMENT ADVISORS LIMITED | Rep | Advising on futures contracts | 2013-09-23 | 2014-05-31 | Rep | Advising on securities | 2013-09-23 | 2014-05-31 | Rep | Asset management | 2013-09-23 | 2014-05-31 |
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