David Thomas Mansfield
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Thomas Mansfield, a licensed former licensee with CE reference ALT907. This person has 14.0 years of SFC licence history. Total licence records on file: 16.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Finex Hong Kong Limited | RO | Type 1 - Dealing in securities | 2020-10-20 | 2022-07-20 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 - Dealing in futures contracts | 2017-10-09 | 2018-06-08 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 - Advising on futures contracts | 2017-10-09 | 2018-06-08 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2012-01-16 | 2016-10-17 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2012-01-16 | 2017-10-09 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2012-01-16 | 2016-10-17 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2012-01-16 | 2017-10-09 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-04-12 | 2011-06-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-11-06 | 2011-06-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | 2008-11-06 | 2011-06-16 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2008-07-24 | 2008-11-24 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 - Providing automated trading services | 2008-07-24 | 2008-11-24 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-06-24 | 2011-06-16 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-06-01 | 2008-06-16 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2005-03-03 | 2006-01-17 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-03-03 | 2006-01-17 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as David Thomas Mansfield 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.