Nicholas James
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas James, a licensed former licensee with CE reference BGO846. This person has 0.9 years of SFC licence history. Total licence records on file: 2.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Leonteq Securities (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2015-12-08 | 2016-11-16 |
| Leonteq Securities (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2015-12-08 | 2016-11-16 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Nicholas 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.