Nicholas Rensselaer Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Rensselaer Lee, a licensed former licensee with CE reference AGE031. This person has 11.1 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 - Dealing in securities | 2012-12-28 | 2014-04-26 |
| Merrill Lynch Far East Limited | RO | Type 1 - Dealing in securities | 2012-12-28 | 2014-04-26 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 - Advising on securities | 2012-12-28 | 2014-04-26 |
| Merrill Lynch Far East Limited | RO | Type 4 - Advising on securities | 2012-12-28 | 2014-04-26 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2005-05-19 | 2012-12-28 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2005-05-19 | 2012-12-28 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2005-05-19 | 2014-04-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2012-12-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2012-12-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2014-04-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-01-25 |