Barroso, Raul Francisco
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 | Arete Research Asia Limited | RO | Advising on securities | 2010-01-11 | 2010-05-09 |
| 2 | CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | Rep | Advising on securities | 2014-09-18 | 2016-05-16 | RO | Advising on securities | 2016-05-16 | 2016-06-02 |
| 3 | Jefferies Hong Kong Limited | Rep | Dealing in securities | 2011-05-25 | 2012-08-14 |
| 4 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2004-09-16 | 2008-11-20 | Rep | Dealing in securities | 2004-09-16 | 2008-11-20 |
| 5 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2004-09-16 | 2008-11-20 | Rep | Dealing in futures contracts | 2004-09-16 | 2008-11-20 |
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