Dorothy J Dong
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dorothy J Dong, a licensed former licensee with CE reference BEE580. This person has 3.1 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Equities First Holdings Hong Kong Limited | RO | Type 1 - Dealing in securities | 2020-01-20 | 2020-08-17 |
| Equities First Holdings Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2019-05-21 | 2020-01-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2014-09-19 | 2016-08-09 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2014-09-19 | 2016-08-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2014-09-19 | 2016-08-09 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2014-09-19 | 2016-08-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2014-09-19 | 2016-08-09 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2014-09-19 | 2016-08-09 |
Worked alongside
The 8 closest colleagues, strongest tie first — individuals licensed at the same firm as Dorothy J Dong during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.