Mario John Serafino
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mario John Serafino, a licensed Responsible Officer with CE reference BFL567. Currently licensed at 1 firm(s): Citigroup Global Markets Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities. Total licence records on file: 9.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2024-10-28 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2024-10-28 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2024-10-16 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2022-10-24 | 2024-10-28 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2022-10-24 | 2024-10-28 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2015-05-14 | 2016-10-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2015-05-14 | 2022-07-19 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2015-05-14 | 2016-10-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2015-05-14 | 2022-07-19 |