Sean Darby
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sean Darby, a licensed Responsible Officer with CE reference AFD144. Currently licensed at 1 firm(s): Mizuho Securities Asia Limited. Active regulated activities: Type 4 - Advising on securities. This person has 22.5 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 4 - Advising on securities | 2024-05-17 | present |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2024-02-27 | 2024-05-17 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 4 - Advising on securities | 2023-03-23 | 2023-07-03 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
RO | Type 4 - Advising on securities | 2011-12-08 | 2023-03-23 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 4 - Advising on securities | 2011-09-12 | 2011-12-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2005-11-30 | 2011-06-17 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2011-06-17 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-11-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-11-24 |