Shingadia, Neelpesh (SFC:AXE159)
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 | FWD Financial Planning Limited (HK) | Rep | Advising on securities | 2011-05-12 | 2013-05-31 |
| 2 | Quam Securities Limited | Rep | Advising on securities | 2013-10-15 | 2017-01-06 |
| 3 | Quam Securities Limited | Rep | Asset management | 2014-10-15 | 2017-01-06 |
| 4 | FWD Financial Planning Limited (HK) | Rep | Dealing in securities | 2011-05-12 | 2013-05-31 |
| 5 | Quam Securities Limited | Rep | Dealing in securities | 2013-10-15 | 2017-01-06 |
| 6 | Prive Financial Limited | Rep | Dealing in securities | 2017-05-31 | 2017-11-17 |
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