Nicholas Nolan Nguyen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Nolan Nguyen ( ), a licensed former licensee with CE reference ARJ828. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura Securities (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2010-02-04 | 2011-12-09 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2009-01-12 | 2011-12-09 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2009-01-12 | 2010-02-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-10-10 | 2011-12-09 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-10-10 | 2011-12-09 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2008-07-31 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-07-31 | 2008-09-29 |