Ria Therese Nova
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ria Therese Nova, a licensed former licensee with CE reference APR251. This person has 7.2 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Neuberger Berman Asia Limited | RO | Type 1 - Dealing in securities | 2011-08-29 | 2014-12-31 |
| Neuberger Berman Asia Limited | RO | Type 4 - Advising on securities | 2011-08-29 | 2014-12-31 |
| Neuberger Berman Asia Limited | RO | Type 9 - Asset management | 2011-08-29 | 2014-12-31 |
| Neuberger Berman Asia Limited | Rep | Type 1 - Dealing in securities | 2008-04-23 | 2011-08-29 |
| Neuberger Berman Asia Limited | Rep | Type 4 - Advising on securities | 2008-04-23 | 2011-08-29 |
| Neuberger Berman Asia Limited | Rep | Type 9 - Asset management | 2008-04-23 | 2011-08-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2007-09-24 | 2008-03-20 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 - Advising on securities | 2007-09-24 | 2008-03-20 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ria Therese Nova 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.