Todd Howard James
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Todd Howard James ( ), a licensed Responsible Officer with CE reference AVX425. Currently licensed at 1 firm(s): QRC Asset Management Limited. Active regulated activities: Type 4 - Advising on securities; Type 9 - Asset management. This person has 9.0 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| QRC Asset Management Limited |
RO | Type 4 - Advising on securities | 2026-05-11 | present |
| QRC Asset Management Limited |
RO | Type 9 - Asset management | 2026-05-11 | present |
| Differ Asset Management Company Limited |
RO | Type 9 - Asset management | 2018-03-01 | 2023-08-09 |
| Differ Financial and Securities Limited 鼎豐金融證券有限公司 |
RO | Type 1 - Dealing in securities | 2018-02-13 | 2019-02-28 |
| Lombard Odier (Hong Kong) Limited 瑞士隆奧(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-12-02 | 2015-03-26 |
| Lombard Odier (Hong Kong) Limited 瑞士隆奧(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2013-12-02 | 2015-03-26 |
| Lombard Odier (Hong Kong) Limited 瑞士隆奧(香港)有限公司 |
Rep | Type 9 - Asset management | 2013-12-02 | 2015-03-26 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2011-03-14 | 2012-10-04 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
RO | Type 4 - Advising on securities | 2011-03-14 | 2012-10-04 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
RO | Type 9 - Asset management | 2011-03-14 | 2012-10-04 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
Rep | Type 9 - Asset management | 2011-01-21 | 2011-03-14 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-09-20 | 2011-03-14 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-09-20 | 2011-03-14 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Todd Howard James 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.