David Charles Williams
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Charles Williams, a licensed former licensee with CE reference AFB389. This person has 4.7 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-08-20 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-08-20 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2008-08-20 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 5 - Advising on futures contracts | 2008-08-20 | 2009-11-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2007-09-03 | 2012-02-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2007-09-03 | 2012-02-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2007-09-03 | 2012-02-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2007-09-03 | 2012-02-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-09-14 | 2006-12-13 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as David Charles Williams 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.