Sean Joseph McCarthy

CE No. AWI446 Ceased

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sean Joseph McCarthy (), a licensed former licensee with CE reference AWI446. Total licence records on file: 8.

Licence history

FirmRoleRegulated activityFromTo
UBS Securities Asia Limited Rep Type 1 - Dealing in securities 2019-11-15 2019-11-22
UBS Securities Asia Limited Rep Type 1 - Dealing in securities 2019-10-10 2019-10-17
Deutsche Securities Asia Limited
德意志證券亞洲有限公司
Rep Type 1 - Dealing in securities 2018-08-03 2018-11-02
Deutsche Securities Asia Limited
德意志證券亞洲有限公司
Rep Type 2 - Dealing in futures contracts 2018-08-03 2018-11-02
Deutsche Securities Asia Limited
德意志證券亞洲有限公司
Rep Type 1 - Dealing in securities 2015-01-28 2015-01-30
Deutsche Securities Asia Limited
德意志證券亞洲有限公司
Rep Type 2 - Dealing in futures contracts 2015-01-28 2015-01-30
Goldman Sachs (Asia) L.L.C.
高盛(亞洲)有限責任公司
Rep Type 1 - Dealing in securities 2010-11-17 2011-08-30
Goldman Sachs Futures (Asia) Limited
高盛期貨(亞洲)有限公司
Rep Type 2 - Dealing in futures contracts 2010-11-17 2011-08-30

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