SFC Licences of CARLONE Thomas
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 | RE | 4 | 06 June 2022 | |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 | RE | 1 | 06 June 2022 | |
| CITIC Securities International Global Markets Limited 中信證券國際全球市場有限公司 | RE | 4 | 06 December 2017 | 20 January 2021 |
| CITIC Securities International Global Markets Limited 中信證券國際全球市場有限公司 | RE | 1 | 06 December 2017 | 20 January 2021 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 | RE | 4 | 19 December 2013 | 05 June 2017 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 | RE | 1 | 19 December 2013 | 05 June 2017 |
| Merrill Lynch Far East Limited | RE | 2 | 19 July 2011 | 05 September 2013 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 19 July 2011 | 05 September 2013 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 7 | 14 September 2010 | 16 April 2011 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 1 | 15 August 2005 | 16 April 2011 |