Nicholas Carrigan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Carrigan ( ), a licensed former licensee with CE reference BAX003. Total licence records on file: 2.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-20 | 2018-08-31 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2013-02-21 | 2013-12-21 |