Nicholas James Lumb
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas James Lumb ( ), a licensed former licensee with CE reference AOK050. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| St. James's Place (Hong Kong) Limited |
Rep | Type 9 - Asset management | 2019-04-18 | 2024-01-11 |
| St. James's Place (Hong Kong) Limited |
Rep | Type 1 - Dealing in securities | 2012-03-28 | 2024-01-11 |
| St. James's Place (Hong Kong) Limited |
Rep | Type 4 - Advising on securities | 2007-03-02 | 2024-01-11 |