Stephen Haggerty
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Haggerty, a licensed former licensee with CE reference AZK515. This person has 5.0 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2016-04-06 | 2017-06-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2016-04-06 | 2017-06-06 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2013-01-17 | 2017-06-06 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 - Dealing in securities | 2012-07-25 | 2016-04-06 |
| Merrill Lynch Far East Limited | RO | Type 2 - Dealing in futures contracts | 2012-07-25 | 2013-01-17 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 - Advising on securities | 2012-07-25 | 2016-04-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2012-06-01 | 2012-07-25 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2012-06-01 | 2012-07-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2012-06-01 | 2012-07-25 |