Nichols, David (SFC:AGJ649)
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 | APOGEE PARTNERS LIMITED (HK) | RO | Asset management | 2017-07-14 | 2018-04-16 |
| 2 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2004-01-08 | Rep | Asset management | 2004-01-08 | Rep | Advising on securities | 2006-08-11 | Rep | Dealing in securities | 2006-08-11 |
| 3 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in securities | 2006-09-10 | 2007-02-15 | RO | Dealing in securities | 2007-02-15 | 2008-09-29 |
| 4 | LEHMAN BROTHERS SECURITIES ASIA LIMITED | RO | Dealing in securities | 2007-10-23 | 2008-09-29 |
| 5 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-10-10 | 2012-03-14 |
| 6 | Standard Chartered Securities (Hong Kong) Limited | Rep | Advising on securities | 2013-08-22 | 2015-01-08 | Rep | Dealing in securities | 2013-08-22 | 2015-01-08 |
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