Norman Alexanda Stradmoor
施耐宏
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Norman Alexanda Stradmoor (施耐宏), a licensed Responsible Officer with CE reference ARR597. Currently licensed at 1 firm(s): Nittan Securities Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nittan Securities Asia Limited 溢勝證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2015-08-28 | present |
| Nittan Securities Asia Limited 溢勝證券亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2015-08-28 | present |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-01-14 | 2012-09-14 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-29 | 2012-09-14 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2009-06-29 | 2011-11-10 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-09-30 | 2009-05-18 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2008-09-30 | 2009-05-18 |