Stearn, Nicholas Antony
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 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2016-07-07 | 2023-02-28 | Rep | Dealing in futures contracts | 2016-07-07 | 2023-02-28 | RO | Advising on futures contracts | 2023-02-28 | RO | Dealing in futures contracts | 2023-02-28 |
| 2 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Advising on securities | 2016-07-07 | 2023-02-28 | Rep | Dealing in securities | 2016-07-07 | 2023-02-28 | RO | Advising on securities | 2023-02-28 | RO | Dealing in securities | 2023-02-28 |
| 3 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2007-05-29 | 2015-09-04 | RO | Dealing in securities | 2015-09-04 | 2016-04-05 |
| 4 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2007-05-29 | 2015-09-04 | Rep | Dealing in futures contracts | 2010-09-02 | 2015-09-04 | RO | Dealing in futures contracts | 2015-09-04 | 2016-04-05 | RO | Dealing in securities | 2015-09-04 | 2016-04-05 |
| 5 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-05-29 | 2010-09-02 |
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