Frank Vincent Caruso
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Frank Vincent Caruso ( ), a licensed former licensee with CE reference BHH755. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 — Advising on securities | 2021-06-10 | 2021-06-10 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 — Advising on securities | 2018-06-11 | 2018-06-14 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 — Advising on securities | 2018-01-15 | 2018-01-19 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 1 — Dealing in securities | 2017-04-25 | 2017-04-25 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 1 — Dealing in securities | 2016-04-26 | 2016-04-28 |