Nan Xia
夏楠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nan Xia (夏楠), a licensed former licensee with CE reference AQL118. This person has 6.7 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Swiss China Capital Limited | Rep | Type 1 - Dealing in securities | 2018-01-11 | 2018-01-31 |
| Swiss China Capital Limited | Rep | Type 4 - Advising on securities | 2018-01-11 | 2018-01-31 |
| Swiss China Capital Limited | Rep | Type 9 - Asset management | 2018-01-11 | 2018-01-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-06-21 | 2016-05-21 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-03-28 | 2016-05-21 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2011-03-28 | 2013-08-31 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2011-03-28 | 2013-08-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2008-02-01 | 2009-08-06 |
Worked alongside
The 9 closest colleagues, strongest tie first — individuals licensed at the same firm as Nan Xia 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.