David Nichols
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Nichols ( ), a licensed former licensee with CE reference AGJ649. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Apogee Partners Limited |
RO | Type 9 — Asset management | 2017-07-14 | 2018-04-16 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-22 | 2015-01-08 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-08-22 | 2015-01-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-10 | 2012-03-14 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2007-10-23 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 1 — Dealing in securities | 2007-02-15 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2006-09-10 | 2007-02-15 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-08-11 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2006-08-11 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-08 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-08 |