David John Rosa
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David John Rosa, a licensed former licensee with CE reference AHA551. This person has 14.7 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 |
RO | Type 1 - Dealing in securities | 2015-10-30 | 2019-05-01 |
| Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 |
RO | Type 4 - Advising on securities | 2013-09-06 | 2019-05-01 |
| Bridgeway Prime Shop Fund Management Limited 盛滙商舖基金管理有限公司 |
RO | Type 9 - Asset management | 2013-09-06 | 2019-05-01 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2012-03-30 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2012-03-30 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-10-13 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 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 | Pre-2003 | 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 | Pre-2003 | 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 | Pre-2003 | 2003-10-13 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-10-13 |
Worked alongside
The 18 closest colleagues, strongest tie first — individuals licensed at the same firm as David John Rosa 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.