Christopher James Littell
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Christopher James Littell ( ), a licensed former licensee with CE reference AGM210. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-09-15 | 2016-06-15 |
| Paribas Asia Equity Limited 巴黎巴亞洲証券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-10-02 | 2011-12-30 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-12-18 | 2016-06-15 |
| BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-12-18 | 2011-12-30 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2005-06-08 | 2006-04-28 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-06-08 | 2006-04-28 |
| Wharton Investment Advisors Limited |
Rep | Type 1 — Dealing in securities | present | 2004-03-19 |
| Wharton Investment Advisors Limited |
Rep | Type 4 — Advising on securities | present | 2005-05-25 |
| Wharton Investment Advisors Limited |
Rep | Type 5 — Advising on futures contracts | present | 2005-05-25 |
| Wharton Investment Advisors Limited |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-19 |
| Wharton Investment Advisors Limited |
Rep | Type 9 — Asset management | present | 2005-05-25 |