Nicholas James Smith
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas James Smith, a licensed former licensee with CE reference AUE009. This person has 13.5 years of SFC licence history. Total licence records on file: 2.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BGC Securities (Hong Kong) LLC | Rep | Type 1 - Dealing in securities | 2019-06-03 | 2023-09-29 |
| T.F.S. Derivatives HK Limited | Rep | Type 1 - Dealing in securities | 2009-11-24 | 2019-02-12 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Nicholas James Smith 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.