Rodney Gordon Ward
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rodney Gordon Ward, a licensed former licensee with CE reference ACD837. This person has 3.0 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2012-07-09 | 2015-05-01 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2012-07-09 | 2015-05-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2012-07-09 | 2015-05-01 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2012-07-09 | 2015-05-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2012-07-09 | 2015-05-01 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2012-07-09 | 2015-05-01 |
| UBS Securities Asia Limited | RO | Type 4 - Advising on securities | Pre-2003 | 2003-06-25 |
| UBS Securities Asia Limited | RO | Type 6 - Advising on corporate finance | Pre-2003 | 2003-06-25 |
| UBS Securities Asia Limited | RO | Type 9 - Asset management | Pre-2003 | 2003-06-25 |