Sean Philip Alexander
白影子
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sean Philip Alexander (白影子), a licensed Responsible Officer with CE reference AHA619. Currently licensed at 1 firm(s): Arete Research Asia Limited. Active regulated activities: Type 4 — Advising on securities. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Arete Research Asia Limited |
RO | Type 4 — Advising on securities | 2018-09-27 | present |
| Arete Research Asia Limited |
Rep | Type 4 — Advising on securities | 2018-08-16 | 2018-09-27 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-03 | 2018-03-16 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2007-10-25 | 2012-11-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2006-09-22 | 2007-07-18 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-02-28 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2006-02-28 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-08 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-08 |