Daniel John Sofianos
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Daniel John Sofianos ( ), a licensed former licensee with CE reference ASO671. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities (Far East) Limited | RO | Type 1 — Dealing in securities | 2014-06-17 | 2017-05-11 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2014-06-17 | 2015-11-03 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 4 — Advising on securities | 2014-06-17 | 2017-05-11 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2014-06-17 | 2015-11-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-08-05 | 2014-06-17 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2013-08-05 | 2014-06-17 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2010-07-23 | 2013-05-03 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2009-03-16 | 2009-06-16 |