John Swafford Goff
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John Swafford Goff, a licensed former licensee with CE reference AHS150. This person has 17.2 years of SFC licence history. Total licence records on file: 14.
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 5 - Advising on futures contracts | 2018-05-21 | 2020-09-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2018-05-21 | 2020-09-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2018-05-21 | 2020-09-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 4 - Advising on securities | 2018-05-21 | 2020-09-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-10-10 | 2018-05-21 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-10-10 | 2020-09-24 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-06-18 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2008-06-06 | 2008-09-29 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-06-06 | 2008-09-29 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2008-03-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-03-23 |
| 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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as John Swafford Goff 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.