James Marc Lee Segal
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Marc Lee Segal, a licensed Representative with CE reference ANM994. Currently licensed at 1 firm(s): SMBC Nikko Securities (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 5 - Advising on futures contracts. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2025-04-28 | 2026-03-18 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2025-04-28 | 2026-03-18 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2025-04-28 | 2026-03-18 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2025-04-28 | 2026-03-18 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2018-07-03 | 2025-01-24 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2010-08-20 | 2018-02-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2010-01-08 | 2018-02-27 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2010-01-08 | 2010-08-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2006-07-03 | 2008-10-22 |