Mark Steven Spitzer
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mark Steven Spitzer, a licensed former licensee with CE reference AZH668. This person has 7.8 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 - Dealing in securities | 2019-01-18 | 2020-07-30 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 7 - Providing automated trading services | 2019-01-18 | 2020-07-30 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-10-11 | 2020-07-30 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2015-01-19 | 2020-07-30 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-01-19 | 2016-10-10 |
| Brevan Howard (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2013-10-10 | 2014-10-01 |
| Brevan Howard (Hong Kong) Limited | Rep | Type 9 - Asset management | 2013-10-10 | 2014-10-01 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2012-04-17 | 2013-07-17 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-04-17 | 2013-07-17 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Mark Steven Spitzer 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.