Xiaozhuo Tao
陶晓卓
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaozhuo Tao (陶晓卓), a licensed former licensee with CE reference BES969. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2021-09-20 | 2026-03-05 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2021-09-20 | 2024-02-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2021-09-20 | 2026-03-05 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2021-09-20 | 2024-02-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2021-09-20 | 2026-03-05 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2021-09-20 | 2024-02-26 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-06-29 | 2021-07-13 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2018-06-29 | 2021-07-13 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2018-06-29 | 2021-07-13 |
| HSBC Corporate Finance (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | 2015-01-23 | 2018-05-23 |