Smith, Nicholas James (SFC:AUE009)
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 | BGC SECURITIES (HONG KONG) LLC | Rep | Dealing in securities | 2019-06-03 | 2023-09-29 |
| 2 | T.F.S. Derivatives HK Limited | Rep | Dealing in securities | 2009-11-24 | 2019-02-12 |
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