Stephen Haggerty
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Haggerty ( ), a licensed former licensee with CE reference AZK515. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2016-04-06 | 2017-06-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2016-04-06 | 2017-06-06 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2013-01-17 | 2017-06-06 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2012-07-25 | 2016-04-06 |
| Merrill Lynch Far East Limited | RO | Type 2 — Dealing in futures contracts | 2012-07-25 | 2013-01-17 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | 2012-07-25 | 2016-04-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2012-06-01 | 2012-07-25 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2012-06-01 | 2012-07-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2012-06-01 | 2012-07-25 |