Hironori Mizoguchi
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hironori Mizoguchi ( ), a licensed former licensee with CE reference AHL612. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 - Dealing in securities | 2009-04-01 | 2022-10-01 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 4 - Advising on securities | 2009-04-01 | 2022-10-01 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2004-04-13 | 2008-12-05 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2004-04-13 | 2008-12-05 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | present | 2004-03-12 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | present | 2004-03-12 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | present | 2004-03-12 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | present | 2004-03-12 |