Stephen James Nichols
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen James Nichols ( ), a licensed former licensee with CE reference ACJ658. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
RO | Type 1 — Dealing in securities | 2012-07-23 | 2015-12-16 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 — Dealing in securities | 2011-02-02 | 2012-07-23 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2007-10-15 | 2010-06-30 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RO | Type 1 — Dealing in securities | 2007-10-15 | 2010-06-30 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RO | Type 2 — Dealing in futures contracts | 2007-10-15 | 2010-06-30 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-04-07 | 2007-10-15 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2006-04-07 | 2007-10-15 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2006-04-07 | 2007-10-15 |