Neal Thomson Herman
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Neal Thomson Herman ( ), a licensed former licensee with CE reference AVO978. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2025-03-28 | 2025-04-02 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2024-05-31 | 2024-06-08 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
Rep | Type 4 — Advising on securities | 2017-11-06 | 2017-11-07 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-17 | 2014-09-29 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
Rep | Type 4 — Advising on securities | 2014-09-17 | 2014-09-29 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
Rep | Type 1 — Dealing in securities | 2013-01-07 | 2014-07-14 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
Rep | Type 4 — Advising on securities | 2013-01-07 | 2014-07-14 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
Rep | Type 4 — Advising on securities | 2011-11-23 | 2012-12-01 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
Rep | Type 1 — Dealing in securities | 2011-11-04 | 2012-12-01 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-07-29 | 2011-08-19 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2010-07-29 | 2011-08-04 |