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DARBY Sean

CE AFD144Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

DARBY Sean (CE number AFD144) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerMizuho Securities Asia Limited
瑞穗證券亞洲有限公司

Licence Record (5)

2024-05-17 – present Current
Mizuho Securities Asia Limited RO
RA 4
2024-02-27 – 2024-05-17
Mizuho Securities Asia Limited Rep
RA 4
2011-12-08 – 2023-03-23
Jefferies Hong Kong Limited RO
RA 4
2011-09-12 – 2023-07-03
Jefferies Hong Kong Limited Rep
RA 4
2003-04-01 – 2011-06-17
Nomura International (Hong Kong) Limited Rep
RA 4 RA 5 RA 6 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AFD144