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PAOLUCCI Nicholas Giovanni

跑萬年
CE ALT899Licensed IndividualSFO licence active
Official SFC record

PAOLUCCI Nicholas Giovanni (CE number ALT899) is an individual licensed by the Hong Kong SFC. First licensed on 2005-03-03. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeGoldman Sachs (Asia) L.L.C.
高盛(亞洲)有限責任公司
RepresentativeGoldman Sachs (Asia) Securities Limited
高盛(亞洲)證券有限公司

Licence Record (6)

2024-11-19 – present Current
Goldman Sachs (Asia) L.L.C. Rep
RA 1
2024-11-19 – present Current
Goldman Sachs (Asia) Securities Limited Rep
RA 2
2021-06-09 – 2021-07-05
Merrill Lynch (Asia Pacific) Limited Rep
RA 1
2021-06-09 – 2021-07-05
Merrill Lynch Far East Limited Rep
RA 1 RA 2
2006-07-17 – 2019-09-30
J.P. Morgan Broking (Hong Kong) Limited Rep
RA 1 RA 2 RA 4 RA 5
2005-03-03 – 2006-07-01
Bear Stearns Asia Limited Rep
RA 1 RA 4

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ALT899