William James Roland Nicholls
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for William James Roland Nicholls, a licensed former licensee with CE reference APJ504. This person has 3.7 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2021-01-22 | 2023-03-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2021-01-22 | 2023-03-06 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2009-02-25 | 2009-06-01 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2007-08-08 | 2008-12-01 |
| Macquarie Equities (Asia) Limited 麥格理證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-08-08 | 2008-12-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as William James Roland Nicholls 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.