SFC Licences of LITTELL Christopher James
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 | RE | 2 | 15 September 2011 | 15 June 2016 |
| Paribas Asia Equity Limited (trading as Paribas) 巴黎巴亞洲証券有限公司 | RE | 1 | 02 October 2009 | 30 December 2011 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 | RE | 1 | 18 December 2008 | 15 June 2016 |
| BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司 | RE | 2 | 18 December 2008 | 30 December 2011 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 2 | 08 June 2005 | 28 April 2006 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 1 | 08 June 2005 | 28 April 2006 |
| Wharton Investment Advisors Limited | RE | 4 | 01 April 2003 | 25 May 2005 |
| Wharton Investment Advisors Limited | RE | 5 | 01 April 2003 | 25 May 2005 |
| Wharton Investment Advisors Limited | RE | 9 | 01 April 2003 | 25 May 2005 |
| Wharton Investment Advisors Limited | RE | 1 | 01 April 2003 | 19 March 2004 |
| Wharton Investment Advisors Limited | RE | 6 | 01 April 2003 | 19 March 2004 |