James William Edward Ellis
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James William Edward Ellis ( ), a licensed former licensee with CE reference AWP670. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2019-12-10 | 2019-12-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2019-09-16 | 2019-09-19 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2019-05-31 | 2019-06-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2019-03-29 | 2019-04-03 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2019-01-18 | 2019-01-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2018-09-24 | 2018-09-27 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2011-01-18 | 2011-02-18 |