Thanh Cao Nguyen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thanh Cao Nguyen, a licensed Representative with CE reference ADQ686. Currently licensed at 1 firm(s): Jefferies Hong Kong Limited. Active regulated activities: Type 1 - Dealing in securities. This person has 17.7 years of SFC licence history. Total licence records on file: 18.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 - Dealing in securities | 2023-08-21 | present |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2021-09-10 | 2023-04-27 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 - Dealing in securities | 2016-03-01 | 2021-05-17 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2014-10-22 | 2016-01-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-10-22 | 2016-01-21 |
| GFI (HK) Securities L.L.C. | RO | Type 7 - Providing automated trading services | 2009-04-16 | 2010-05-27 |
| GFI (HK) Securities L.L.C. | RO | Type 1 - Dealing in securities | 2009-01-22 | 2010-05-27 |
| GFI (HK) Securities L.L.C. | Rep | Type 1 - Dealing in securities | 2008-11-14 | 2009-01-22 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-12-01 | 2008-05-30 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2005-06-14 | 2008-05-30 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-06-14 |
| Bear Stearns Hong Kong Limited 貝爾斯登香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2004-12-09 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-12-09 |
| Bear Stearns Hong Kong Limited 貝爾斯登香港有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-12-09 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-12-09 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2004-12-09 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-12-09 |
| Bear Stearns Hong Kong Limited 貝爾斯登香港有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-12-09 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Thanh Cao Nguyen 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.