Carpenter, Seth Bernard
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Morgan Stanley Asia Limited | Rep | Advising on securities | 2023-02-28 | 2023-03-04 | Rep | Dealing in securities | 2023-02-28 | 2023-03-04 | Rep | Advising on securities | 2024-02-02 | 2024-02-07 |
| 2 | UBS SECURITIES ASIA LIMITED | Rep | Advising on securities | 2017-11-24 | 2017-11-29 | Rep | Advising on securities | 2018-05-04 | 2018-05-11 | Rep | Advising on securities | 2019-05-10 | 2019-05-17 | Rep | Advising on securities | 2019-10-04 | 2019-10-11 |
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