James Nicholas Barrie Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Nicholas Barrie Smith, a licensed former licensee with CE reference ANN329. This person has 13.7 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Elliott Advisors (HK) Limited | Rep | Type 4 - Advising on securities | 2019-10-31 | 2020-04-03 |
| Elliott Advisors (HK) Limited | Rep | Type 5 - Advising on futures contracts | 2019-10-31 | 2020-04-03 |
| Elliott Advisors (HK) Limited | Rep | Type 9 - Asset management | 2019-10-31 | 2020-04-03 |
| Elliott Advisors (HK) Limited | RO | Type 4 - Advising on securities | 2007-08-21 | 2019-10-31 |
| Elliott Advisors (HK) Limited | RO | Type 5 - Advising on futures contracts | 2007-08-21 | 2019-10-31 |
| Elliott Advisors (HK) Limited | RO | Type 9 - Asset management | 2007-08-21 | 2019-10-31 |
| Elliott Advisors (HK) Limited | Rep | Type 9 - Asset management | 2006-08-10 | 2007-08-21 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as James Nicholas Barrie Smith 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.