Steven A Bernstein
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steven A Bernstein, a licensed former licensee with CE reference AUQ299. This person has 5.6 years of SFC licence history. Total licence records on file: 5.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lone Star Asia-Pacific Acquisitions (Hong Kong) Limited | RO | Type 9 - Asset management | 2020-06-15 | 2022-12-28 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 9 - Asset management | 2012-12-13 | 2013-10-31 |
| Sequence Asset Management Limited | RO | Type 9 - Asset management | 2012-02-29 | 2012-07-16 |
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2010-02-12 | 2011-11-30 |
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2010-02-12 | 2011-11-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Steven A Bernstein 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.