Nicholas Peter Lord
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Peter Lord, a licensed Representative with CE reference ANB704. Currently licensed at 1 firm(s): Morgan Stanley Asia Limited. Active regulated activities: Type 4 — Advising on securities. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2023-08-17 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-18 | 2024-01-12 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-02-07 | 2011-02-14 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 4 — Advising on securities | 2007-05-22 | 2010-06-22 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 4 — Advising on securities | 2006-02-16 | 2007-05-22 |