Daniel John Sofianos
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Daniel John Sofianos, a licensed former licensee with CE reference ASO671. This person has 6.8 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities (Far East) Limited | RO | Type 1 - Dealing in securities | 2014-06-17 | 2017-05-11 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2014-06-17 | 2015-11-03 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 4 - Advising on securities | 2014-06-17 | 2017-05-11 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2014-06-17 | 2015-11-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2013-08-05 | 2014-06-17 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2013-08-05 | 2014-06-17 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2010-07-23 | 2013-05-03 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2009-03-16 | 2009-06-16 |