David Andrew Stead
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Andrew Stead, a licensed former licensee with CE reference AQT298. This person has 7.7 years of SFC licence history. Total licence records on file: 14.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-11-03 | 2017-11-13 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2017-11-03 | 2017-11-13 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2017-11-03 | 2017-11-13 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2017-11-03 | 2017-11-13 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2016-12-19 | 2017-03-01 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2016-12-19 | 2017-03-01 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2014-09-22 | 2017-03-01 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2014-09-22 | 2016-12-18 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2014-09-22 | 2017-03-01 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2014-09-22 | 2016-12-18 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2010-07-28 | 2013-06-29 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2008-04-07 | 2013-06-29 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2008-04-07 | 2013-06-29 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2008-04-07 | 2013-06-29 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as David Andrew Stead 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.