James Stephen McCafferty
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Stephen McCafferty, a licensed former licensee with CE reference BAM438. This person has 9.4 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2023-02-09 | 2023-03-31 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 4 - Advising on securities | 2015-09-29 | 2023-02-09 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-08-12 | 2015-09-29 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 4 - Advising on securities | 2013-01-17 | 2014-09-08 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 4 - Advising on securities | 2012-11-19 | 2013-01-17 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as James Stephen McCafferty during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.