Andrew Charles Rothman
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Charles Rothman, a licensed former licensee with CE reference AFW955. This person has 10.9 years of SFC licence history. Total licence records on file: 3.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2014-03-01 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-03-18 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-03-18 |