Benjamin James Stocker
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Benjamin James Stocker ( ), a licensed former licensee with CE reference AQM556. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Religare Capital Markets (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2015-09-02 | 2015-11-11 |
| Religare Capital Markets (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2015-08-24 | 2015-11-11 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2011-07-13 | 2011-10-27 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-05-26 | 2012-11-10 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2008-02-14 | 2010-04-01 |