Nicholas James Creer Thompson
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas James Creer Thompson, a licensed Representative with CE reference ABE543. Currently licensed at 1 firm(s): HSBC Securities Brokers (Asia) Limited. Active regulated activities: Type 1 - Dealing in securities. This person has 10.2 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2022-05-20 | present |
| orientiert International Markets Limited | Rep | Type 1 - Dealing in securities | 2009-03-10 | 2009-10-27 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2008-08-11 | 2008-11-26 |
| Macquarie Equities (Asia) Limited 麥格理證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-07-19 | 2008-11-26 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-04-01 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-04-01 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 9 - Asset management | Pre-2003 | 2004-04-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Nicholas James Creer Thompson 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.