James Joseph Neary
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Joseph Neary, a licensed Representative with CE reference AQE987. Currently licensed at 1 firm(s): KGI Asia Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-03 | present |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-16 | 2017-10-02 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-06 | 2016-01-21 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-08-06 | 2016-01-21 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-12-29 | 2012-09-05 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-15 | 2009-01-01 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 1 — Dealing in securities | 2007-12-27 | 2008-05-15 |