Sullivan, Andrew Michael

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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 BNP PARIBAS SECURITIES (ASIA) LIMITED Rep Advising on corporate finance 2004-02-03
Rep Advising on securities 2004-02-03
Rep Asset management 2004-02-03
Rep Dealing in securities 2004-07-06
2 Daiwa Capital Markets Hong Kong Limited Rep Dealing in securities 2004-10-11 2007-12-06
3 Execution Noble (Hong Kong) Limited Rep Dealing in securities 2014-06-30 2014-09-12
4 HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED Rep Dealing in securities 2015-01-29 2015-11-19
Rep Advising on securities 2015-03-25 2015-11-19
RO Advising on securities 2015-11-19 2017-05-31
RO Dealing in securities 2015-11-19 2017-05-31
5 KIM ENG SECURITIES (HONG KONG) LIMITED Rep Dealing in securities 2013-01-31 2014-06-23
6 MF Securities Hong Kong Limited RO Dealing in securities 2008-02-21 2010-03-08
Rep Advising on securities 2008-06-18 2008-11-17
RO Advising on securities 2008-11-17 2010-03-08
Rep Advising on securities 2010-03-08 2010-07-12
Rep Dealing in securities 2010-03-08 2010-07-12
7 Pearl Bridge Securities Limited Rep Advising on securities 2019-09-06 2019-11-01
Rep Dealing in securities 2019-09-06 2019-11-01
RO Advising on securities 2019-11-01 2020-05-15
RO Dealing in securities 2019-11-01 2020-05-15
8 PIPER JAFFRAY ASIA SECURITIES LIMITED Rep Dealing in securities 2011-06-30 2012-08-25
9 RHB SECURITIES HONG KONG LIMITED Rep Advising on securities 2010-10-26 2011-06-22
Rep Dealing in securities 2010-10-26 2011-06-22

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