Alexander Raymond Garthoff
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alexander Raymond Garthoff ( ), a licensed former licensee with CE reference ABV792. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2013-09-17 | 2015-07-01 |
| MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-07-04 | 2013-09-17 |
| Samsung Securities (Asia) Limited 三星證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-07 | 2011-12-02 |
| MainFirst Securities Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2008-06-17 | 2008-09-04 |
| MainFirst Securities Hong Kong Limited |
Rep | Type 4 — Advising on securities | 2008-04-18 | 2008-09-04 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2007-04-11 | 2008-02-29 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2006-12-18 | 2007-04-11 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2006-11-10 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-03-21 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2005-01-28 |