James Anthony Gleeson
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Anthony Gleeson ( ), a licensed former licensee with CE reference AHT088. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Vantage Capital Markets HK Limited | Rep | Type 1 — Dealing in securities | 2020-11-05 | 2022-04-21 |
| Vantage Capital Markets HK Limited | Rep | Type 2 — Dealing in futures contracts | 2020-11-05 | 2022-04-21 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-07-08 | 2019-03-22 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-03-06 | 2019-03-22 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2012-03-06 | 2013-08-31 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2012-03-06 | 2013-08-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-15 | 2009-08-01 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2009-04-15 | 2009-08-01 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2009-04-15 | 2009-08-01 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-06-12 | 2008-12-10 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-06-12 | 2008-12-10 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-10-03 | 2008-12-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-04-14 | 2006-08-01 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-08-01 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-02-15 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-02-15 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-22 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2005-02-15 |