Stephen Mark Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Mark Smith, a licensed former licensee with CE reference BFA905. This person has 6.8 years of SFC licence history. Total licence records on file: 8.
Information
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- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Tullett Prebon (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2019-12-30 | 2023-05-16 |
| Tullett Prebon (Hong Kong) Limited | Rep | Type 7 - Providing automated trading services | 2019-12-30 | 2023-05-16 |
| Tullett Prebon (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2019-06-12 | 2019-12-12 |
| Tullett Prebon (Hong Kong) Limited | RO | Type 7 - Providing automated trading services | 2019-06-12 | 2019-12-12 |
| Tullett Prebon (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2019-03-01 | 2019-06-12 |
| Tullett Prebon (Hong Kong) Limited | Rep | Type 7 - Providing automated trading services | 2019-03-01 | 2019-06-12 |
| GFI (HK) Securities L.L.C. | Rep | Type 1 - Dealing in securities | 2015-03-05 | 2017-10-12 |
| GFI (HK) Securities L.L.C. | Rep | Type 7 - Providing automated trading services | 2015-03-05 | 2017-10-12 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Stephen Mark Smith 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.