George Richard Warfield IV
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for George Richard Warfield IV, a licensed former licensee with CE reference ASH893. This person has 3.9 years of SFC licence history. Total licence records on file: 4.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Forthright Capital Management Limited 方德資本管理有限公司 |
RO | Type 4 - Advising on securities | 2016-11-29 | 2020-06-04 |
| Forthright Capital Management Limited 方德資本管理有限公司 |
RO | Type 9 - Asset management | 2016-11-29 | 2020-06-04 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2009-01-16 | 2009-06-11 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-01-16 | 2009-06-11 |
Worked alongside
The 5 closest colleagues, strongest tie first — individuals licensed at the same firm as George Richard Warfield IV 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.
| Name | Shared firm | Overlap |
|---|---|---|
| Nikolay Zakirov | Forthright Capital Management Limited | 2017–2020 |
| Tony Dan Hsu | Forthright Capital Management Limited | 2016–2019 |
| James Tang | Forthright Capital Management Limited | 2019–2020 |
| Xun-Yi Ting | Forthright Capital Management Limited | 2016–2017 |
| Mo Kit Tam | Forthright Capital Management Limited | 2020 |