Stephen John Cadell
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen John Cadell ( ), a licensed former licensee with CE reference AOC885. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2007-08-14 | 2009-10-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2007-08-13 | 2009-10-23 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-05-25 | 2007-06-01 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2007-05-25 | 2007-06-01 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-11-01 | 2007-02-01 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2006-11-01 | 2007-02-01 |