Roderick Mark Waters
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Roderick Mark Waters, a licensed Responsible Officer with CE reference AHD375. Currently licensed at 1 firm(s): Aletheia Analyst Network Limited. Active regulated activities: Type 4 - Advising on securities. This person has 23.0 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aletheia Analyst Network Limited | RO | Type 4 - Advising on securities | 2012-09-03 | present |
| Enzard Limited | RO | Type 4 - Advising on securities | 2008-08-25 | 2012-09-02 |
| Enzard Limited | Rep | Type 4 - Advising on securities | 2008-07-02 | 2008-08-25 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2008-02-19 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-02-03 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-02-03 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Roderick Mark Waters 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.