Harriet Anne Caldwell
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Harriet Anne Caldwell, a licensed Representative with CE reference BIE126. Currently licensed at 1 firm(s): Merrill Lynch Far East Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. This person has 9.6 years of SFC licence history. Total licence records on file: 3.
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2023-01-31 | present |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2022-06-07 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2016-09-22 | 2022-03-02 |