Richard Miles Wertheimer
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Miles Wertheimer, a licensed former licensee with CE reference ACT127. This person has 6.3 years of SFC licence history. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2011-02-14 | 2012-11-30 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2009-01-07 | 2009-09-30 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2009-01-07 | 2009-09-30 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-05-03 | 2009-01-07 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2006-05-03 | 2009-01-07 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
Rep | Type 9 - Asset management | 2006-05-03 | 2008-12-15 |
| Mirabaud (Far East) Limited | RO | Type 4 - Advising on securities | 2005-06-15 | 2006-04-28 |
| Mirabaud (Asia) Limited | RO | Type 1 - Dealing in securities | 2005-03-14 | 2006-01-27 |
| Mirabaud (Asia) Limited | RO | Type 4 - Advising on securities | 2005-03-14 | 2006-01-27 |
| Mirabaud (Far East) Limited | RO | Type 9 - Asset management | 2005-03-14 | 2006-04-28 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Richard Miles Wertheimer during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one.