David Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Lee, a licensed former licensee with CE reference ADR496. This person has 1.3 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2004-08-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-08-01 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-08-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-08-01 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2004-08-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-08-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as David Lee 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.