Nicholas Charles Sparrow
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Charles Sparrow, a licensed former licensee with CE reference AHF977. This person has 12.2 years of SFC licence history. Total licence records on file: 20.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Vantage Capital Markets HK Limited | Rep | Type 1 - Dealing in securities | 2015-11-27 | 2018-01-26 |
| Vantage Capital Markets HK Limited | Rep | Type 2 - Dealing in futures contracts | 2015-11-27 | 2018-01-26 |
| De Riva Asia Limited | Rep | Type 1 - Dealing in securities | 2014-02-17 | 2015-11-27 |
| De Riva Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2014-02-17 | 2015-11-27 |
| GFI (HK) Securities L.L.C. | Rep | Type 1 - Dealing in securities | 2010-07-05 | 2013-04-19 |
| GFI (HK) Securities L.L.C. | Rep | Type 7 - Providing automated trading services | 2010-07-05 | 2013-04-19 |
| ICAP Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2005-11-21 | 2009-06-19 |
| ICAP Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2005-11-21 | 2009-06-19 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-03-03 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-03-03 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2005-03-03 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-06-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-06-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-07-21 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-06-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-06-02 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-06-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Nicholas Charles Sparrow 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.