Goutham Bharadwaj
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Goutham Bharadwaj ( ), a licensed former licensee with CE reference BDP709. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2024-03-08 | 2024-03-15 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2024-03-08 | 2024-03-15 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-01-13 | 2023-01-20 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2023-01-13 | 2023-01-20 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-10-17 | 2017-10-20 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2017-10-17 | 2017-10-20 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2017-10-17 | 2017-10-20 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2016-12-19 | 2017-03-01 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2014-06-25 | 2017-03-01 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2014-06-25 | 2016-12-18 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2014-06-25 | 2017-03-01 |