Nicholas James Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas James Smith ( ), a licensed former licensee with CE reference AUE009. Total licence records on file: 2.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BGC Securities (Hong Kong) LLC |
Rep | Type 1 - Dealing in securities | 2019-06-03 | 2023-09-29 |
| T.F.S. Derivatives HK Limited | Rep | Type 1 - Dealing in securities | 2009-11-24 | 2019-02-12 |