Richard Antony Wallace
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Antony Wallace, a licensed Responsible Officer with CE reference AFD281. Currently licensed at 1 firm(s): Aletheia Analyst Network Limited. Active regulated activities: Type 4 — Advising on securities. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aletheia Analyst Network Limited |
RO | Type 4 — Advising on securities | 2012-09-04 | present |
| Pyrmont Wealth Management Limited 本盟財富管理有限公司 |
RO | Type 4 — Advising on securities | 2005-03-08 | 2008-12-01 |
| Enzard Limited | RO | Type 4 — Advising on securities | 2004-05-21 | 2013-02-18 |
| Financial Shield Limited | RO | Type 4 — Advising on securities | 2003-06-26 | 2003-09-04 |