Kenneth Patrick Carcaterra
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kenneth Patrick Carcaterra ( ), a licensed former licensee with CE reference AFQ323. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2011-02-19 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | present | 2011-02-19 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-10-13 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 5 — Advising on futures contracts | present | 2003-10-13 |
| 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 | 2003-10-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-10-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-13 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 9 — Asset management | present | 2003-10-13 |