Gates, Stuart 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 | BEAR STEARNS ASIA LIMITED | Rep | Advising on securities | 2005-02-07 | 2008-05-30 | Rep | Dealing in securities | 2005-02-07 | 2008-05-30 | Rep | Dealing in futures contracts | 2007-07-09 | 2008-05-30 |
| 2 | CCB INTERNATIONAL SECURITIES LIMITED | Rep | Advising on securities | 2008-07-23 | 2009-01-08 | Rep | Dealing in securities | 2008-07-23 | 2009-01-08 | RO | Advising on securities | 2009-01-08 | RO | Dealing in securities | 2009-01-08 |
| 3 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-12-02 | Rep | Asset management | 2003-12-02 | Rep | Automated trading services | 2003-12-02 | Rep | Advising on securities | 2005-02-07 | Rep | Dealing in securities | 2005-02-07 |
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