Adam Alexander Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Adam Alexander Smith, a licensed Representative with CE reference ANT189. Currently licensed at 1 firm(s): CITIC Securities International Global Markets Limited. Active regulated activities: Type 1 - Dealing in securities. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities International Global Markets Limited 中信證券國際全球市場有限公司 |
Rep | Type 1 - Dealing in securities | 2019-05-30 | present |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-09-03 | 2020-05-06 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-09-21 | 2018-05-28 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-10-21 | 2012-04-14 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | 2009-10-21 | 2012-04-14 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-09-28 | 2012-04-14 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2006-07-28 | 2009-06-18 |