Shivam Gupta
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shivam Gupta, a licensed Responsible Officer with CE reference APC574. Currently licensed at 1 firm(s): Millennium Capital Management (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. This person has 18.7 years of SFC licence history. Total licence records on file: 15.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Millennium Capital Management (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2025-11-10 | present |
| Millennium Capital Management (Hong Kong) Limited | RO | Type 2 - Dealing in futures contracts | 2025-11-10 | present |
| Millennium Capital Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2023-10-30 | 2025-11-10 |
| Millennium Capital Management (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2023-10-30 | 2025-11-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2017-12-20 | 2023-08-04 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2017-12-20 | 2023-08-04 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-03-31 | 2017-03-07 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-10-12 | 2023-08-04 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-06-17 | 2017-12-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-06-17 | 2017-12-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | 2011-06-17 | 2013-11-01 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2009-08-10 | 2011-04-02 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2007-06-18 | 2011-04-02 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2007-06-18 | 2011-04-02 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2007-06-18 | 2011-04-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Shivam Gupta 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.