Stephen John Cadell
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen John Cadell, a licensed former licensee with CE reference AOC885. This person has 2.5 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2007-08-14 | 2009-10-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2007-08-13 | 2009-10-23 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-05-25 | 2007-06-01 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2007-05-25 | 2007-06-01 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2006-11-01 | 2007-02-01 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2006-11-01 | 2007-02-01 |