Francis Joseph Carroll III
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Francis Joseph Carroll III, a licensed Responsible Officer with CE reference BQB535. Currently licensed at 1 firm(s): Oaktree Capital (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 5.9 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Oaktree Capital (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2023-10-03 | present |
| Oaktree Capital (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2023-10-03 | present |
| Oaktree Capital (Hong Kong) Limited | RO | Type 9 - Asset management | 2023-10-03 | present |
| Oaktree Capital (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2020-10-05 | 2023-10-03 |
| Oaktree Capital (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2020-10-05 | 2023-10-03 |
| Oaktree Capital (Hong Kong) Limited | Rep | Type 9 - Asset management | 2020-10-05 | 2023-10-03 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Francis Joseph Carroll III 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.