Roger Patrick Dunphy
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Roger Patrick Dunphy, a licensed former licensee with CE reference ACJ019. This person has 15.6 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| State Street Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2013-07-02 | 2019-02-01 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2013-04-12 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-02-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-02-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2004-02-11 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Roger Patrick Dunphy 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.