James Pearson
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Pearson, a licensed former licensee with CE reference ABN229. This person has 8.9 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-11-14 | 2019-04-04 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2016-11-14 | 2019-04-04 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2016-11-14 | 2019-04-04 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2004-07-15 | 2009-12-07 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2004-07-15 | 2009-12-07 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2004-01-30 | 2004-07-15 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2004-01-30 | 2004-07-15 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-11-26 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-11-26 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-11-26 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-11-26 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as James Pearson during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.