Dhawal Arvind Shah
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dhawal Arvind Shah ( ), a licensed former licensee with CE reference AYM782. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Augment Wealth Advisors Limited |
Rep | Type 1 — Dealing in securities | 2021-07-02 | 2022-11-15 |
| Augment Wealth Advisors Limited |
Rep | Type 4 — Advising on securities | 2021-07-02 | 2022-11-15 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-16 | 2018-05-25 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-08-16 | 2018-05-25 |
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-11-24 | 2016-06-30 |