Chapman, James Richard (SFC:ALS060)
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 | LEHMAN BROTHERS ASIA LIMITED | Rep | Advising on corporate finance | 2005-02-07 | 2008-09-29 |
| 2 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on corporate finance | 2008-10-09 | 2009-03-06 |
| 3 | Merrill Lynch Far East Limited | Rep | Advising on corporate finance | 2008-10-09 | 2009-03-06 |
| 4 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Advising on corporate finance | 2009-06-08 | 2013-07-19 |
| 5 | LEHMAN BROTHERS ASIA LIMITED | Rep | Advising on securities | 2005-02-07 | 2008-09-29 |
| 6 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on securities | 2008-10-09 | 2009-03-06 |
| 7 | Merrill Lynch Far East Limited | Rep | Advising on securities | 2008-10-09 | 2009-03-06 |
| 8 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2008-11-04 | 2009-03-06 |
| 9 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2008-11-04 | 2009-03-06 |
| 10 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in securities | 2009-06-08 | 2013-07-19 |
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