Carlone, Thomas
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 | CITIC Securities International Global Markets Limited | Rep | Advising on securities | 2017-12-06 | 2021-01-20 | Rep | Dealing in securities | 2017-12-06 | 2021-01-20 |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2005-08-15 | 2011-04-16 | Rep | Automated trading services | 2010-09-14 | 2011-04-16 |
| 3 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2011-07-19 | 2013-09-05 |
| 4 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2011-07-19 | 2013-09-05 |
| 5 | MIZUHO SECURITIES ASIA LIMITED | Rep | Advising on securities | 2013-12-19 | 2017-06-05 | Rep | Dealing in securities | 2013-12-19 | 2017-06-05 |
| 6 | SMBC Nikko Securities (Hong Kong) Limited | Rep | Advising on securities | 2022-06-06 | Rep | Dealing in securities | 2022-06-06 |
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