SFC Licences of NICHOLS Stephen James
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 | RO | 1 | 23 July 2012 | 16 December 2015 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 | RE | 1 | 02 February 2011 | 23 July 2012 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RO | 2 | 15 October 2007 | 30 June 2010 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RO | 1 | 15 October 2007 | 30 June 2010 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RO | 1 | 15 October 2007 | 30 June 2010 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 2 | 07 April 2006 | 15 October 2007 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 1 | 07 April 2006 | 15 October 2007 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 07 April 2006 | 15 October 2007 |