Seth Bernard Carpenter
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Seth Bernard Carpenter ( ), a licensed former licensee with CE reference BLO850. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2024-02-02 | 2024-02-07 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2023-02-28 | 2023-03-04 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2023-02-28 | 2023-03-04 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2019-10-04 | 2019-10-11 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2019-05-10 | 2019-05-17 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2018-05-04 | 2018-05-11 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2017-11-24 | 2017-11-29 |