Guggenheim Securities (Hong Kong) Limited
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Guggenheim Securities (Hong Kong) Limited ( ), a Hong Kong-based licensed corporation with CE reference ARO506. Current licensed staff on file: 0 (total recorded over time: 3). Earliest licence on file: 2009-03-13.
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | 2009-03-13 | 2011-03-30 |
Licensed staff (all-time) (3)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| David Lucas Conrod | RO 1 | 2009-03 | 2010-03 |
| Norris Man Ngar Lam 林曼雅 | RO 1 | 2009-03 | 2010-09 |
| Karen Wai Yee Hui 許慧怡 | Rep 1 | 2009-07 | 2010-09 |
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