Stephens, Anthony Jeetendra

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SFC licenses

Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

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Organisation Role Activity From Until
1 Credit Suisse (Hong Kong) Limited Rep Dealing in futures contracts 2018-01-29 2021-03-12
Rep Dealing in securities 2018-01-29 2021-03-12
2 Credit Suisse Securities (Hong Kong) Limited Rep Dealing in securities 2018-01-29 2021-03-12
Rep Automated trading services 2018-02-08 2021-03-12
3 GOLDMAN SACHS (ASIA) L.L.C. Rep Dealing in securities 2014-07-31 2017-10-17
4 GOLDMAN SACHS (ASIA) SECURITIES LIMITED Rep Dealing in securities 2014-07-31 2016-10-10
Rep Dealing in futures contracts 2016-10-11 2017-10-17
Rep Dealing in securities 2016-10-11 2017-10-17
5 GOLDMAN SACHS FUTURES (ASIA) LIMITED Rep Dealing in futures contracts 2014-07-31 2016-10-10
6 Merrill Lynch (Asia Pacific) Limited Rep Dealing in securities 2008-01-22 2010-03-19
Rep Dealing in securities 2021-06-30 2023-08-23
RO Dealing in securities 2023-08-23
7 Merrill Lynch Far East Limited Rep Dealing in securities 2008-01-22 2010-03-19
Rep Dealing in futures contracts 2021-06-30 2023-08-23
Rep Dealing in securities 2021-06-30 2023-08-23
RO Dealing in futures contracts 2023-08-23
RO Dealing in securities 2023-08-23
8 MERRILL LYNCH FUTURES (HONG KONG) LIMITED Rep Dealing in futures contracts 2008-01-22 2010-03-19
9 UBS SECURITIES ASIA LIMITED Rep Dealing in futures contracts 2012-05-21 2014-05-15
Rep Dealing in securities 2012-05-21 2014-05-15
10 UBS SECURITIES HONG KONG LIMITED Rep Dealing in securities 2012-05-21 2014-05-15

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