Shane Carroll
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shane Carroll, a licensed Representative with CE reference BEA790. Currently licensed at 2 firm(s): UBS Securities Asia Limited, UBS Securities Hong Kong Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. This person has 11.5 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2018-04-24 | present |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2018-04-24 | present |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2018-04-24 | present |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2018-04-24 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2016-10-13 | 2018-02-26 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-10-13 | 2018-02-26 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2016-10-13 | 2018-02-26 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-08-18 | 2016-06-24 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-08-18 | 2016-06-24 |