Andrew Michael Sullivan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Michael Sullivan ( ), a licensed former licensee with CE reference AEV843. Total licence records on file: 24.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Outset Global (Hong Kong) Limited |
RO | Type 1 — Dealing in securities | 2021-06-22 | 2023-02-24 |
| Pearl Bridge Securities Limited 橋匯證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-11-01 | 2020-05-15 |
| Pearl Bridge Securities Limited 橋匯證券有限公司 |
RO | Type 4 — Advising on securities | 2019-11-01 | 2020-05-15 |
| Pearl Bridge Securities Limited 橋匯證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-09-06 | 2019-11-01 |
| Pearl Bridge Securities Limited 橋匯證券有限公司 |
Rep | Type 4 — Advising on securities | 2019-09-06 | 2019-11-01 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2015-11-19 | 2017-05-31 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
RO | Type 4 — Advising on securities | 2015-11-19 | 2017-05-31 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2015-03-25 | 2015-11-19 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-01-29 | 2015-11-19 |
| Execution Noble (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2014-06-30 | 2014-09-12 |
| MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-01-31 | 2014-06-23 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-06-30 | 2012-08-25 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-26 | 2011-06-22 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 — Advising on securities | 2010-10-26 | 2011-06-22 |
| MainFirst Securities Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2010-03-08 | 2010-07-12 |
| MainFirst Securities Hong Kong Limited |
Rep | Type 4 — Advising on securities | 2010-03-08 | 2010-07-12 |
| MainFirst Securities Hong Kong Limited |
RO | Type 4 — Advising on securities | 2008-11-17 | 2010-03-08 |
| MainFirst Securities Hong Kong Limited |
Rep | Type 4 — Advising on securities | 2008-06-18 | 2008-11-17 |
| MainFirst Securities Hong Kong Limited |
RO | Type 1 — Dealing in securities | 2008-02-21 | 2010-03-08 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2004-10-11 | 2007-12-06 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-07-06 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-03 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-03 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-03 |