Nicholas Rensselaer Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Rensselaer Lee ( ), a licensed former licensee with CE reference AGE031. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2012-12-28 | 2014-04-26 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2012-12-28 | 2014-04-26 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | 2012-12-28 | 2014-04-26 |
| Merrill Lynch Far East Limited | RO | Type 4 — Advising on securities | 2012-12-28 | 2014-04-26 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2005-05-19 | 2012-12-28 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2005-05-19 | 2012-12-28 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2005-05-19 | 2014-04-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2012-12-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2012-12-28 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2014-04-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |