Gleeson, James Anthony
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 securities | 2009-04-15 | 2009-08-01 | Rep | Dealing in securities | 2012-03-06 | 2019-03-22 | Rep | Dealing in futures contracts | 2013-07-08 | 2019-03-22 |
| 2 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2009-04-15 | 2009-08-01 | Rep | Dealing in securities | 2009-04-15 | 2009-08-01 | Rep | Dealing in futures contracts | 2012-03-06 | 2013-08-31 | Rep | Dealing in securities | 2012-03-06 | 2013-08-31 |
| 3 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2005-04-14 | 2006-08-01 |
| 4 | Credit Suisse Securities (Hong Kong) Limited | Rep | Automated trading services | 2003-08-22 | Rep | Advising on corporate finance | 2005-02-15 | Rep | Advising on securities | 2005-02-15 | Rep | Asset management | 2005-02-15 | Rep | Dealing in securities | 2006-08-01 |
| 5 | Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-06-12 | 2008-12-10 |
| 6 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-10-03 | 2008-12-10 | Rep | Dealing in futures contracts | 2008-06-12 | 2008-12-10 |
| 7 | Vantage Capital Markets HK Limited | Rep | Dealing in futures contracts | 2020-11-05 | 2022-04-21 | Rep | Dealing in securities | 2020-11-05 | 2022-04-21 |
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