Walter Xavier Stanton III
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Walter Xavier Stanton III, a licensed former licensee with CE reference AEA621. This person has 15.5 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| LGT Investment Management (Asia) Limited | RO | Type 1 - Dealing in securities | 2011-01-18 | 2023-04-18 |
| LGT Investment Management (Asia) Limited | RO | Type 4 - Advising on securities | 2011-01-18 | 2023-04-18 |
| LGT Investment Management (Asia) Limited | RO | Type 9 - Asset management | 2011-01-18 | 2023-04-18 |
| LGT Investment Management (Asia) Limited | Rep | Type 4 - Advising on securities | 2010-03-04 | 2011-01-18 |
| LGT Investment Management (Asia) Limited | Rep | Type 1 - Dealing in securities | 2010-01-13 | 2011-01-18 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2007-06-25 | 2009-09-28 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2007-06-25 | 2009-09-28 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Walter Xavier Stanton III 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. See the detailed formula.