Nicholas Antony Stearn
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Antony Stearn, a licensed Responsible Officer with CE reference APA129. Currently licensed at 2 firm(s): J.P. Morgan Securities (Far East) Limited, J.P. Morgan Broking (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 5 — Advising on futures contracts. Total licence records on file: 15.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on futures contracts →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities (Far East) Limited | RO | Type 1 — Dealing in securities | 2023-02-28 | present |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2023-02-28 | present |
| J.P. Morgan Securities (Far East) Limited | RO | Type 4 — Advising on securities | 2023-02-28 | present |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2023-02-28 | present |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2016-07-07 | 2023-02-28 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2016-07-07 | 2023-02-28 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2016-07-07 | 2023-02-28 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2016-07-07 | 2023-02-28 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2015-09-04 | 2016-04-05 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2015-09-04 | 2016-04-05 |
| Merrill Lynch Far East Limited | RO | Type 2 — Dealing in futures contracts | 2015-09-04 | 2016-04-05 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-09-02 | 2015-09-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-05-29 | 2015-09-04 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2007-05-29 | 2015-09-04 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-05-29 | 2010-09-02 |