Antos, James R
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 | BEAR STEARNS ASIA LIMITED | Rep | Dealing in securities | 2003-04-10 | 2004-11-16 | Rep | Advising on securities | 2003-04-10 | 2008-05-30 |
| 2 | FOX-PITT, KELTON (ASIA) LIMITED | Rep | Advising on securities | 2008-06-23 | 2009-09-30 |
| 3 | MIZUHO SECURITIES ASIA LIMITED | Rep | Advising on securities | 2009-10-12 | 2015-12-14 |
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