Stephen Patrick Gore
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Patrick Gore ( ), a licensed former licensee with CE reference AWJ495. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2012-12-12 | 2017-05-25 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2012-12-12 | 2017-05-25 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | 2012-12-12 | 2017-05-25 |
| Merrill Lynch Far East Limited | RO | Type 4 — Advising on securities | 2012-12-12 | 2017-05-25 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 6 — Advising on corporate finance | 2012-12-12 | 2017-05-25 |
| Merrill Lynch Far East Limited | RO | Type 6 — Advising on corporate finance | 2012-12-12 | 2017-05-25 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2012-11-07 | 2012-12-12 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2012-11-07 | 2012-12-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2012-11-07 | 2012-12-12 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2012-11-07 | 2012-12-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2012-11-07 | 2012-12-12 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2012-11-07 | 2012-12-12 |
| UBS Securities Hong Kong Limited | RO | Type 6 — Advising on corporate finance | 2012-06-07 | 2012-08-08 |