Seth Bernard Carpenter

CE No. BLO850 Ceased

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

FirmRoleRegulated activityFromTo
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

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