Morita, Sergio Takeo
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 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2018-04-03 | 2018-06-20 | Rep | Dealing in securities | 2018-04-03 | 2018-06-20 | RO | Advising on securities | 2018-06-20 | 2019-10-31 | RO | Dealing in securities | 2018-06-20 | 2019-10-31 |
| 2 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2009-07-29 | 2012-04-02 | Rep | Dealing in securities | 2013-04-02 | 2014-03-01 |
| 3 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2010-08-20 | 2012-04-02 | Rep | Dealing in futures contracts | 2013-04-02 | 2014-03-01 |
| 4 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2009-07-29 | 2010-08-20 |
| 5 | PEAK CAPITAL LIMITED (b2004-03-30) | Rep | Advising on securities | 2020-11-23 | 2023-04-12 | Rep | Dealing in securities | 2020-11-23 | 2023-04-12 |
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