Gavin John Ottery
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Gavin John Ottery, CE reference ALS347. Currently licensed at 1 firm(s): Wells Fargo Securities Asia Limited. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wells Fargo Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2015-03-11 | present |
| Wells Fargo Securities Asia Limited | Rep | Type 4 — Advising on securities | 2015-03-11 | present |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-11-28 | 2010-10-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | 2007-11-28 | 2010-10-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2005-02-15 | 2005-11-05 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | 2005-02-15 | 2005-11-05 |