Tate James Barnes
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tate James Barnes, a licensed Representative with CE reference BGV467. Currently licensed at 2 firm(s): Merrill Lynch (Asia Pacific) Limited, Merrill Lynch Far East Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2025-06-23 | present |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2025-06-23 | present |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2025-06-23 | present |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2024-05-31 | 2024-07-19 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2023-12-14 | 2024-05-31 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2016-01-18 | 2022-09-02 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-01-18 | 2022-09-02 |