Stephens, Anthony Jeetendra
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 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2008-01-22 | 2010-03-19 |
| 2 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2008-01-22 | 2010-03-19 |
| 3 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-01-22 | 2010-03-19 |
| 4 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2012-05-21 | 2014-05-15 |
| 5 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2012-05-21 | 2014-05-15 |
| 6 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2012-05-21 | 2014-05-15 |
| 7 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in securities | 2014-07-31 | 2016-10-10 |
| 8 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2014-07-31 | 2016-10-10 |
| 9 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2014-07-31 | 2017-10-17 |
| 10 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in futures contracts | 2016-10-11 | 2017-10-17 |
| 11 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in securities | 2016-10-11 | 2017-10-17 |
| 12 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2018-01-29 | 2021-03-12 |
| 13 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2018-01-29 | 2021-03-12 |
| 14 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2018-01-29 | 2021-03-12 |
| 15 | Credit Suisse Securities (Hong Kong) Limited | Rep | Automated trading services | 2018-02-08 | 2021-03-12 |
| 16 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2021-06-30 | 2023-08-23 |
| 17 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2021-06-30 | 2023-08-23 |
| 18 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2021-06-30 | 2023-08-23 |
| 19 | Merrill Lynch (Asia Pacific) Limited | RO | Dealing in securities | 2023-08-23 | |
| 20 | Merrill Lynch Far East Limited | RO | Dealing in futures contracts | 2023-08-23 | |
| 21 | Merrill Lynch Far East Limited | RO | Dealing in securities | 2023-08-23 |
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