SFC Licences of GARTHOFF Alexander Raymond
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 | RO | 4 | 17 September 2013 | 01 July 2015 |
MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 | RE | 4 | 04 July 2013 | 17 September 2013 |
Samsung Securities (Asia) Limited 三星證券(亞洲)有限公司 | RE | 1 | 07 March 2011 | 02 December 2011 |
MainFirst Securities Hong Kong Limited | RE | 1 | 17 June 2008 | 04 September 2008 |
MainFirst Securities Hong Kong Limited | RE | 4 | 18 April 2008 | 04 September 2008 |
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 | RO | 4 | 11 April 2007 | 29 February 2008 |
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 | RE | 4 | 18 December 2006 | 11 April 2007 |
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 4 | 01 April 2003 | 10 November 2006 |
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 6 | 01 April 2003 | 21 March 2005 |
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 9 | 01 April 2003 | 28 January 2005 |