David Nichols
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Nichols, a licensed former licensee with CE reference AGJ649. This person has 11.0 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Apogee Partners Limited | RO | Type 9 - Asset management | 2017-07-14 | 2018-04-16 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-08-22 | 2015-01-08 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2013-08-22 | 2015-01-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-10-10 | 2012-03-14 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2007-10-23 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 1 - Dealing in securities | 2007-02-15 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2006-09-10 | 2007-02-15 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2006-08-11 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2006-08-11 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-01-08 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-01-08 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as David Nichols 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.