Wallum, Nicholas Peter
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 | Dealing in securities | 2007-10-22 | 2009-09-09 |
| 2 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2007-10-22 | 2009-09-09 | Rep | Dealing in securities | 2007-10-22 | 2009-09-09 |
| 3 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2009-11-02 | 2015-12-16 | Rep | Automated trading services | 2009-11-19 | 2013-07-24 | RO | Dealing in securities | 2015-12-16 | 2019-12-10 |
| 4 | Morgan Stanley Hong Kong Futures Limited | Rep | Dealing in futures contracts | 2009-11-02 | 2010-12-06 | Rep | Automated trading services | 2009-11-19 | 2010-12-06 |
| 5 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2009-11-02 | 2015-12-16 | Rep | Dealing in futures contracts | 2010-12-06 | 2015-12-16 | Rep | Automated trading services | 2013-07-24 | 2015-12-16 | RO | Automated trading services | 2015-12-16 | 2019-12-10 | RO | Dealing in futures contracts | 2015-12-16 | 2019-12-10 | RO | Dealing in securities | 2015-12-16 | 2019-12-10 |
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