Goff, John Swafford
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 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in securities | 2008-06-06 | 2008-09-29 | Rep | Dealing in futures contracts | 2008-06-18 | 2008-09-29 |
| 2 | LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2008-06-06 | 2008-09-29 |
| 3 | Merrill Lynch (Asia Pacific) Limited | Rep | Asset management | 2005-01-25 | Rep | Advising on corporate finance | 2005-03-23 | Rep | Advising on securities | 2005-03-23 | Rep | Automated trading services | 2005-03-23 | Rep | Dealing in securities | 2008-03-11 |
| 4 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-10-10 | 2018-05-21 | Rep | Dealing in futures contracts | 2008-10-10 | 2020-09-24 | Rep | Advising on corporate finance | 2018-05-21 | 2020-09-24 | Rep | Advising on futures contracts | 2018-05-21 | 2020-09-24 | RO | Advising on securities | 2018-05-21 | 2020-09-24 | RO | Dealing in securities | 2018-05-21 | 2020-09-24 |
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