Carlsen, Nicholas James (SFC:AQW035)
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Citigroup Global Markets Asia Limited | Rep | Dealing in futures contracts | 2016-04-25 | 2022-06-27 | Rep | Dealing in securities | 2016-04-25 | 2022-06-27 | Rep | Dealing in securities | 2022-10-31 | 2022-11-08 | Rep | Dealing in securities | 2023-06-26 |
| 2 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2008-04-24 | 2010-07-07 |
| 3 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2008-04-24 | 2010-07-07 |
| 4 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2010-12-01 | 2016-01-07 |
| 5 | Morgan Stanley Hong Kong Futures Limited | Rep | Dealing in futures contracts | 2010-12-01 | 2010-12-06 |
| 6 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2010-12-06 | 2014-02-20 |
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