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LUMB Nicholas James

IA2109Inactive / lapsedTechnical representative (broker)Long Term (incl. investment-linked)
Licence no
IA2109
Type
Technical representative (broker)
Status
Inactive / lapsed
Line of business
Long Term (incl. investment-linked)
Valid from
2021-03-31
Valid to
2024-03-30

Contact & address

Address (EN)
1/F, Henley Building, 5 Queen's Road Central, Central, Hong Kong
Address (中)
1/F, Henley Building, 5 Queen's Road Central, Central, Hong Kong

Location

Approximate — geocoded from the registered address. Open in Google Maps →

Appointments & work history 2 · 0 active

PrincipalAppointing firmLine of businessStatusAppointedCeased
FB1075St. James's Place (Hong Kong) Limited
St. James's Place (Hong Kong) Limited		Long Term Business (including Linked Long Term Business)Ended2021-03-312024-01-11
FB1075St. James's Place (Hong Kong) Limited
St. James's Place (Hong Kong) Limited		Long Term Business (including Linked Long Term Business)Ended—2021-03-31

Disciplinary / public actions 1

actionDate
1704297600000
actionTaken
2535
actionTakenEN
Fine for non-compliance with CPD requirements for 2022-2023 assessment period
actionTakenTC
因未能遵守2022 -2023評核期的持續專業培訓規定而被罰款
actionTakenSC
因未能遵守2022 -2023评核期的持续专业培训规定而被罚款
pressReleaseEN
Nil
pressReleaseTC
沒有
pressReleaseSC
没有
pressReleases
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