Nathan Keith Mintz
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nathan Keith Mintz ( ), a licensed former licensee with CE reference AQT165. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-07-02 | 2016-12-31 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-12-28 | 2016-12-31 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2011-12-28 | 2016-12-31 |
| BGC Securities (Hong Kong) LLC |
Rep | Type 1 — Dealing in securities | 2010-07-07 | 2011-03-08 |
| BGC Securities (Hong Kong) LLC |
Rep | Type 2 — Dealing in futures contracts | 2010-07-07 | 2011-03-08 |
| BTIG Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2009-05-26 | 2010-05-06 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-04-07 | 2008-05-30 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-04-07 | 2008-05-30 |