Harunobu Goro
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Harunobu Goro, a licensed Representative with CE reference ALV033. Currently licensed at 1 firm(s): UBS Securities Asia Limited. Active regulated activities: Type 4 - Advising on securities. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2025-07-07 | present |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2025-03-07 | 2025-03-14 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2024-12-09 | 2024-12-13 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2024-10-02 | 2024-10-09 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2024-07-02 | 2024-07-08 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2024-03-22 | 2024-03-27 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2023-07-21 | 2023-07-26 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2023-02-17 | 2023-02-22 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 4 - Advising on securities | 2019-01-17 | 2020-08-25 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2009-05-12 | 2018-06-29 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-03-25 | 2008-04-01 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-12-12 | 2007-12-19 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2006-04-10 | 2006-05-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2005-03-17 | 2005-12-22 |