Nozomi Shibano
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nozomi Shibano, a licensed Representative with CE reference AVI061. Currently licensed at 1 firm(s): UBS Securities Asia Limited. Active regulated activities: Type 4 - Advising on securities. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2024-02-06 | present |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2023-09-08 | 2023-09-12 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2023-06-09 | 2023-06-16 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2023-03-10 | 2023-03-15 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2018-05-24 | 2021-04-25 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2018-04-06 | 2018-04-12 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2018-03-08 | 2018-03-17 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2017-08-17 | 2017-08-23 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2016-11-17 | 2016-11-22 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2010-06-15 | 2016-05-11 |