SFC Licences of CARLSEN Nicholas James
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 26 June 2023 | |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 31 October 2022 | 08 November 2022 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 2 | 25 April 2016 | 27 June 2022 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 25 April 2016 | 27 June 2022 |
| Morgan Stanley Hong Kong Securities Limited | RE | 2 | 06 December 2010 | 20 February 2014 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 01 December 2010 | 07 January 2016 |
| Morgan Stanley Hong Kong Futures Limited | RE | 2 | 01 December 2010 | 06 December 2010 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 24 April 2008 | 07 July 2010 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RE | 2 | 24 April 2008 | 07 July 2010 |