Alan John Norman
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alan John Norman ( ), a licensed former licensee with CE reference AIR149. This person has 4.1 years of SFC licence history. Total licence records on file: 2.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wall Street Global Asia Limited |
RO | Type 4 - Advising on securities | 2007-08-21 | 2010-02-01 |
| MLI Limited 萬駿理財顧問有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-11-09 |
Worked alongside
The 9 closest colleagues, strongest tie first — individuals licensed at the same firm as Alan John Norman 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.
| Name | Shared firm | Overlap |
|---|---|---|
| Todd Gilmer Everts | Wall Street Global Asia Limited | 2007–2010 |
| Stephen Graeme McIsaac | Wall Street Global Asia Limited | 2007–2008 |
| Ian Andrew Boyd-Grey | MLI Limited | 2003–2004 |
| Alistaire Ian Nathaniel Hayman | MLI Limited | 2003–2004 |
| Rene Theil | MLI Limited | 2003–2004 |
| Edward Ketterer | Wall Street Global Asia Limited | 2008–2009 |
| Terence Hart | MLI Limited | 2003–2004 |
| Neil Michael Wheat | MLI Limited | 2003 |
| Ernest Bruce Vincent | MLI Limited | 2003 |