Richard Neil Sugarman
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Neil Sugarman, a licensed former licensee with CE reference BKX038. This person has 6.3 years of SFC licence history. Total licence records on file: 2.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| GFI (HK) Securities L.L.C. | Rep | Type 1 - Dealing in securities | 2017-09-11 | 2023-12-29 |
| GFI (HK) Securities L.L.C. | Rep | Type 7 - Providing automated trading services | 2017-09-11 | 2023-12-29 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Richard Neil Sugarman 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.