Ned Phillips
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ned Phillips, a licensed former licensee with CE reference AFC917. This person has 5.8 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2008-09-18 | 2009-12-31 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2006-05-09 | 2007-11-09 |
| ETRADE Securities Limited 億創證券有限公司 |
RO | Type 1 - Dealing in securities | 2006-05-09 | 2007-10-31 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2006-05-09 | 2007-11-09 |
| ETRADE Securities Limited 億創證券有限公司 |
RO | Type 4 - Advising on securities | 2006-05-09 | 2007-10-31 |
| Virtu ITG Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2004-03-01 | 2006-03-31 |
| Virtu ITG Hong Kong Limited | Rep | Type 7 - Providing automated trading services | 2004-03-01 | 2006-03-31 |
| Hoenig (Far East) Limited 漢歷(遠東)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-02-29 |
| Hoenig (Far East) Limited 漢歷(遠東)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-02-19 |
| Hoenig (Far East) Limited 漢歷(遠東)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-02-19 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ned Phillips 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.