Daniel Luke Serjeant
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Daniel Luke Serjeant, a licensed Responsible Officer with CE reference BCV361. Currently licensed at 1 firm(s): SG Securities (HK) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. This person has 12.1 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2024-01-29 | present |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2024-01-29 | present |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2023-11-16 | 2024-01-29 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2023-11-16 | 2024-01-29 |
| Merrill Lynch Far East Limited | RO | Type 1 - Dealing in securities | 2023-04-06 | 2023-08-01 |
| Merrill Lynch Far East Limited | RO | Type 2 - Dealing in futures contracts | 2023-04-06 | 2023-08-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2020-06-15 | 2023-08-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2014-02-17 | 2018-12-19 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2014-02-17 | 2023-04-06 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2014-02-17 | 2023-04-06 |
| Merrill Lynch Far East Limited | Rep | Type 7 - Providing automated trading services | 2014-02-17 | 2018-11-01 |