Carroll, Shane (SFC:BEA790)
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 | Citigroup Global Markets Asia Limited | Rep | Advising on securities | 2016-10-13 | 2018-02-26 | Rep | Dealing in futures contracts | 2016-10-13 | 2018-02-26 | Rep | Dealing in securities | 2016-10-13 | 2018-02-26 |
| 2 | SG SECURITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2014-08-18 | 2016-06-24 | Rep | Dealing in securities | 2014-08-18 | 2016-06-24 |
| 3 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2018-04-24 | Rep | Dealing in securities | 2018-04-24 |
| 4 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2018-04-24 | Rep | Dealing in securities | 2018-04-24 |
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