Nicholas James Lumb
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas James Lumb, a licensed former licensee with CE reference AOK050. This person has 16.9 years of SFC licence history. Total licence records on file: 3.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| St. James's Place (Hong Kong) Limited | Rep | Type 9 - Asset management | 2019-04-18 | 2024-01-11 |
| St. James's Place (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2012-03-28 | 2024-01-11 |
| St. James's Place (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2007-03-02 | 2024-01-11 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Nicholas James Lumb 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.