Littell, Christopher 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 | WHARTON INVESTMENT ADVISORS LIMITED | Rep | Advising on corporate finance | 2004-03-19 | |
| 2 | WHARTON INVESTMENT ADVISORS LIMITED | Rep | Dealing in securities | 2004-03-19 | |
| 3 | WHARTON INVESTMENT ADVISORS LIMITED | Rep | Advising on futures contracts | 2005-05-25 | |
| 4 | WHARTON INVESTMENT ADVISORS LIMITED | Rep | Advising on securities | 2005-05-25 | |
| 5 | WHARTON INVESTMENT ADVISORS LIMITED | Rep | Asset management | 2005-05-25 | |
| 6 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2005-06-08 | 2006-04-28 |
| 7 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in securities | 2005-06-08 | 2006-04-28 |
| 8 | BNP PARIBAS FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-12-18 | 2011-12-30 |
| 9 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2008-12-18 | 2016-06-15 |
| 10 | PARIBAS ASIA EQUITY LIMITED | Rep | Dealing in securities | 2009-10-02 | 2011-12-30 |
| 11 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2011-09-15 | 2016-06-15 |
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