David Anthony Harris
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Anthony Harris ( ), a licensed former licensee with CE reference ADZ065. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2012-07-19 | 2013-10-31 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 4 — Advising on securities | 2012-07-19 | 2013-10-31 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2011-03-16 | 2012-07-19 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-21 | 2012-07-19 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2003-11-21 | 2004-02-21 |