Nicholas James Preston
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas James Preston ( ), a licensed former licensee with CE reference BFG829. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| St. James's Place (Hong Kong) Limited |
Rep | Type 1 — Dealing in securities | 2016-08-22 | 2018-05-04 |
| St. James's Place (Hong Kong) Limited |
Rep | Type 4 — Advising on securities | 2016-08-22 | 2018-05-04 |
| Capstone Financial (HK) Limited | Rep | Type 1 — Dealing in securities | 2015-05-07 | 2016-07-08 |
| Capstone Financial (HK) Limited | Rep | Type 4 — Advising on securities | 2015-05-07 | 2016-07-08 |