SFC Licences of BROADFIELD David John
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RO | 1 | 02 March 2023 | |
| Merrill Lynch Far East Limited | RO | 7 | 31 July 2018 | 16 November 2018 |
| Merrill Lynch Far East Limited | RO | 2 | 31 July 2018 | |
| Merrill Lynch Far East Limited | RO | 1 | 31 July 2018 | |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 07 July 2014 | 02 March 2023 |
| Merrill Lynch Far East Limited | RE | 7 | 07 July 2014 | 31 July 2018 |
| Merrill Lynch Far East Limited | RE | 2 | 07 July 2014 | 31 July 2018 |
| Merrill Lynch Far East Limited | RE | 1 | 07 July 2014 | 31 July 2018 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 7 | 23 August 2013 | 05 April 2014 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 1 | 23 August 2013 | 05 April 2014 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 2 | 23 August 2013 | 05 April 2014 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 1 | 23 August 2013 | 05 April 2014 |