Farrell, Douglas John
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 | Citigroup Global Markets Asia Limited | Rep | Advising on corporate finance | 2010-06-25 | 2014-07-31 | Rep | Dealing in securities | 2010-06-25 | 2014-07-31 |
| 2 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in securities | 2010-06-25 | 2012-01-31 |
| 3 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2009-11-24 | 2010-03-20 | Rep | Advising on securities | 2009-11-24 | 2010-03-20 | Rep | Dealing in securities | 2009-11-24 | 2010-03-20 |
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