James Gruber
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Gruber ( ), a licensed former licensee with CE reference AMX921. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | 2009-03-16 | 2010-07-03 |
| CLSA Research Limited 里昂證券投資研究有限公司 |
Rep | Type 4 — Advising on securities | 2007-06-07 | 2010-07-03 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-01-17 | 2010-07-03 |