Nicholas Peter Stokes
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Peter Stokes ( ), a licensed former licensee with CE reference AUE005. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BGC Securities (Hong Kong) LLC |
RO | Type 1 — Dealing in securities | 2019-10-04 | 2021-06-30 |
| BGC Securities (Hong Kong) LLC |
Rep | Type 1 — Dealing in securities | 2019-06-03 | 2019-10-04 |
| T.F.S. Derivatives HK Limited | Rep | Type 1 — Dealing in securities | 2015-01-08 | 2019-02-12 |
| T.F.S. Derivatives HK Limited | RO | Type 1 — Dealing in securities | 2010-05-12 | 2015-01-08 |
| T.F.S. Derivatives HK Limited | Rep | Type 1 — Dealing in securities | 2009-11-24 | 2010-05-12 |