James Hillyer Boice III
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Hillyer Boice III ( ), a licensed former licensee with CE reference ACN485. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wells Fargo Securities Asia Limited | RO | Type 6 — Advising on corporate finance | 2013-08-30 | 2016-03-23 |
| Wells Fargo Securities Asia Limited | RO | Type 9 — Asset management | 2013-08-30 | 2016-03-23 |
| Wells Fargo Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2011-05-26 | 2011-08-09 |
| Wells Fargo Securities Asia Limited | Rep | Type 4 — Advising on securities | 2011-05-26 | 2011-08-09 |
| Wells Fargo Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | 2011-05-26 | 2011-08-09 |
| Wells Fargo Securities Asia Limited | Rep | Type 9 — Asset management | 2011-05-26 | 2011-08-09 |
| Wells Fargo Securities Asia Limited | RO | Type 9 — Asset management | 2009-01-08 | 2011-05-26 |
| Wells Fargo Securities Asia Limited | RO | Type 1 — Dealing in securities | 2008-04-25 | 2011-05-26 |
| Wells Fargo Securities Asia Limited | RO | Type 4 — Advising on securities | 2008-04-25 | 2011-05-26 |
| Wells Fargo Securities Asia Limited | RO | Type 6 — Advising on corporate finance | 2008-04-25 | 2011-05-26 |