John William Stephens
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John William Stephens, a licensed Responsible Officer with CE reference AFT822. Currently licensed at 1 firm(s): UBS Securities Asia Limited. Active regulated activities: Type 4 — Advising on securities. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | RO | Type 4 — Advising on securities | 2025-11-28 | present |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2023-10-09 | 2025-11-28 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 — Advising on securities | 2020-04-02 | 2023-09-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2020-04-02 | 2023-09-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2020-02-04 | 2020-04-02 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2020-01-22 | 2020-04-02 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
RO | Type 5 — Advising on futures contracts | 2017-12-15 | 2019-12-03 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | 2017-05-17 | 2017-12-15 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
RO | Type 4 — Advising on securities | 2013-07-26 | 2013-08-17 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
Rep | Type 1 — Dealing in securities | 2013-06-11 | 2013-08-17 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
Rep | Type 4 — Advising on securities | 2013-06-11 | 2013-07-26 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-08-07 | 2012-11-13 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 |
RO | Type 4 — Advising on securities | 2011-01-05 | 2011-08-04 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-09 | 2011-08-04 |
| Knight Capital Asia Limited 澧盈資本亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2010-09-09 | 2011-01-05 |
| MainFirst Securities Hong Kong Limited |
Rep | Type 4 — Advising on securities | 2010-05-03 | 2010-07-12 |
| AM Investment Partners HK, Limited |
Rep | Type 9 — Asset management | 2009-06-25 | 2009-09-30 |
| Deephaven Asia Limited | Rep | Type 9 — Asset management | 2007-07-09 | 2009-02-24 |
| Deephaven Asia Limited | Rep | Type 4 — Advising on securities | 2007-06-04 | 2009-02-24 |
| Sattva Investment Advisors Limited | RO | Type 4 — Advising on securities | 2003-10-30 | 2007-05-18 |
| Sattva Investment Advisors Limited | RO | Type 5 — Advising on futures contracts | 2003-10-30 | 2007-05-18 |