James Michael Ellery
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Michael Ellery, a licensed Representative with CE reference BFT053. Currently licensed at 2 firm(s): Goldman Sachs (Asia) L.L.C., Goldman Sachs (Asia) Securities 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 |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2025-03-24 | present |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2025-03-24 | present |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
RO | Type 1 — Dealing in securities | 2017-04-12 | 2025-03-24 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2017-04-12 | 2025-03-24 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-10-11 | 2017-04-12 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2015-07-07 | 2017-04-12 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-07-07 | 2016-10-10 |