Thomas Carlone
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Carlone, a licensed Representative with CE reference AMJ337. Currently licensed at 1 firm(s): SMBC Nikko Securities (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 18.6 years of SFC licence history. Total licence records on file: 12.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2022-06-06 | 2026-03-18 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2022-06-06 | 2026-03-18 |
| CITIC Securities International Global Markets Limited 中信證券國際全球市場有限公司 |
Rep | Type 1 - Dealing in securities | 2017-12-06 | 2021-01-20 |
| CITIC Securities International Global Markets Limited 中信證券國際全球市場有限公司 |
Rep | Type 4 - Advising on securities | 2017-12-06 | 2021-01-20 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2013-12-19 | 2017-06-05 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2013-12-19 | 2017-06-05 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2011-07-19 | 2013-09-05 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2011-07-19 | 2013-09-05 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | 2010-09-14 | 2011-04-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2005-08-15 | 2011-04-16 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Thomas Carlone 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.