Roger Ardisorn Sripunporn
潘小山
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Roger Ardisorn Sripunporn (潘小山), a licensed former licensee with CE reference AIB741. This person has 10.5 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| GFI (HK) Securities L.L.C. | Rep | Type 7 - Providing automated trading services | 2011-09-27 | 2018-01-16 |
| GFI (HK) Securities L.L.C. | Rep | Type 1 - Dealing in securities | 2010-01-04 | 2018-01-16 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 - Dealing in securities | 2007-10-04 | 2008-01-05 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-10-13 | 2005-11-07 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2004-01-28 | 2005-11-07 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2004-01-28 | 2005-11-07 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-09-18 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2003-09-18 |
| 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 | 2003-09-17 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-09-17 |
| 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 | 2003-09-17 |
| BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-09-17 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-09-17 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Roger Ardisorn Sripunporn 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.