Nicholas Carrigan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Carrigan, a licensed former licensee with CE reference BAX003. This person has 5.0 years of SFC licence history. Total licence records on file: 2.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-06-20 | 2018-08-31 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2013-02-21 | 2013-12-21 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Nicholas Carrigan 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.