Niklaus Charles Hergesheimer
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Niklaus Charles Hergesheimer ( ), a licensed former licensee with CE reference BFN303. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2024-04-15 | 2025-09-01 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2024-04-15 | 2025-09-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2015-09-01 | 2020-08-03 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2015-09-01 | 2020-08-03 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2015-07-13 | 2015-08-17 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2015-05-28 | 2015-05-29 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2015-05-28 | 2015-05-29 |