David Dal Broi
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Dal Broi, a licensed former licensee with CE reference AXY476. This person has 11.5 years of SFC licence history. Total licence records on file: 17.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Leonteq Securities (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2022-04-14 | 2023-11-15 |
| Leonteq Securities (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2022-04-14 | 2023-11-15 |
| Saxo Capital Markets HK Limited 盛寶金融(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2021-12-13 | 2022-02-07 |
| Saxo Capital Markets HK Limited 盛寶金融(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2018-08-23 | 2022-02-07 |
| Saxo Capital Markets HK Limited 盛寶金融(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2018-08-23 | 2022-02-07 |
| Saxo Capital Markets HK Limited 盛寶金融(香港)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2018-05-23 | 2022-02-07 |
| Saxo Capital Markets HK Limited 盛寶金融(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-04-27 | 2018-08-23 |
| Saxo Capital Markets HK Limited 盛寶金融(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-04-27 | 2018-08-23 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-02-01 | 2017-12-04 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-02-01 | 2017-12-04 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2015-06-10 | 2016-04-29 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-06-10 | 2016-07-29 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2015-06-10 | 2016-04-29 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2011-09-05 | 2015-04-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2011-09-05 | 2015-04-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2011-09-05 | 2015-04-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2011-09-05 | 2015-04-13 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as David Dal Broi 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.