David Talmadge Ratliff
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Talmadge Ratliff ( ), a licensed former licensee with CE reference AHG576. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wells Fargo Securities Asia Limited | RO | Type 1 — Dealing in securities | 2022-05-11 | 2024-09-03 |
| Wells Fargo Securities Asia Limited | RO | Type 4 — Advising on securities | 2022-05-11 | 2024-09-03 |
| Wells Fargo Securities Asia Limited | RO | Type 6 — Advising on corporate finance | 2022-05-11 | 2024-09-03 |
| Wells Fargo Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2022-04-01 | 2022-05-11 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-03-10 | 2021-12-17 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-03-10 | 2021-12-17 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2013-04-26 | 2015-11-05 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 7 — Providing automated trading services | 2009-09-23 | 2015-11-05 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RO | Type 1 — Dealing in securities | 2003-10-15 | 2013-08-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 1 — Dealing in securities | present | 2015-11-05 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RO | Type 2 — Dealing in futures contracts | present | 2013-08-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 7 — Providing automated trading services | present | 2005-08-03 |