Adair, John Joseph
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 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on corporate finance | 2004-06-01 | Rep | Advising on securities | 2004-06-01 | Rep | Asset management | 2004-06-01 | Rep | Dealing in securities | 2004-09-15 | RO | Dealing in securities | 2004-09-15 | 2007-02-24 |
| 2 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | RO | Dealing in securities | 2005-04-28 | 2007-02-24 | RO | Advising on securities | 2006-07-31 | 2007-02-24 |
| 3 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2004-06-24 | 2007-02-24 |
| 4 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2007-04-17 | 2008-09-29 | Rep | Dealing in securities | 2007-04-17 | 2008-09-29 |
| 5 | LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2007-05-30 | 2008-09-29 |
| 6 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2009-03-13 | 2012-03-01 | Rep | Dealing in securities | 2009-03-13 | 2012-03-01 | RO | Dealing in futures contracts | 2012-03-01 | 2013-01-24 | RO | Dealing in securities | 2012-03-01 | 2013-01-24 |
| 7 | NOMURA SECURITIES (HONG KONG) LIMITED | RO | Automated trading services | 2012-03-01 | 2012-12-08 | RO | Dealing in futures contracts | 2012-03-01 | 2013-01-24 | RO | Dealing in securities | 2012-03-01 | 2013-01-24 |
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