Dexter Tak Yin Tao
陶德賢
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dexter Tak Yin Tao (陶德賢), a licensed former licensee with CE reference AFM505. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-07-17 | 2013-04-27 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2007-07-17 | 2013-04-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2007-07-17 | 2013-04-27 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2007-07-17 | 2013-04-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2007-07-04 | 2013-04-27 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2007-07-04 | 2013-04-27 |
| Polaris Capital (Asia) Limited 寶來資本(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | 2007-03-02 | 2007-06-23 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2003-12-01 | 2007-01-01 |
| WAG Financial Services Group Limited 華高金融服務有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-20 |
| WAG Financial Services Group Limited 華高金融服務有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-20 |