Dennis Ji Nam Kim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dennis Ji Nam Kim ( ), a licensed former licensee with CE reference APL053. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2008-04-21 | 2016-03-08 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2008-04-21 | 2016-03-08 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2008-03-28 | 2016-03-08 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2008-03-28 | 2016-03-08 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2008-03-28 | 2016-03-08 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2008-03-28 | 2016-03-08 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-08-20 | 2008-02-04 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2007-08-20 | 2008-02-04 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-08-20 | 2008-02-04 |