Neil L Advani
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Neil L Advani, a licensed former licensee with CE reference AXM111. This person has 0.6 years of SFC licence history. Total licence records on file: 4.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2011-07-12 | 2012-02-08 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2011-07-12 | 2012-02-08 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2011-07-12 | 2012-02-08 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2011-07-12 | 2012-02-08 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Neil L Advani 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.