Richard James Spencer Johnson
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard James Spencer Johnson ( ), a licensed former licensee with CE reference AWT702. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 4 - Advising on securities | 2023-09-01 | 2024-09-30 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2016-11-28 | 2016-12-02 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2016-04-18 | 2016-04-23 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2015-10-08 | 2015-10-17 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2015-04-13 | 2015-04-22 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2014-08-28 | 2014-09-04 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2011-02-11 | 2013-06-20 |