Richard William Leslie Gallagher
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard William Leslie Gallagher, a licensed Responsible Officer with CE reference AOH529. Currently licensed at 1 firm(s): State Street Securities Hong Kong Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| State Street Securities Hong Kong Limited | RO | Type 1 — Dealing in securities | 2025-03-26 | present |
| State Street Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2025-01-22 | 2025-03-26 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2021-08-06 | 2023-01-12 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2021-08-06 | 2023-01-12 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2021-08-06 | 2023-01-12 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 — Providing automated trading services | 2021-08-06 | 2023-01-12 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-05-18 | 2021-04-14 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-12-15 | 2021-04-14 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2006-12-15 | 2009-02-16 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-12-15 | 2009-02-16 |