Thomas Xenophon Gladstone
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Xenophon Gladstone ( ), a licensed former licensee with CE reference ADD588. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 — Dealing in securities | 2014-05-21 | 2019-04-16 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-01-02 | 2014-05-21 |
| CLSA Futures Limited 里昂期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-01-02 | 2016-02-15 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2003-07-24 | 2012-03-20 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2003-07-24 | 2012-03-20 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2003-07-24 | 2003-12-02 |