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GORO Harunobu

CE ALV033Licensed IndividualSFO licence active
Official SFC record

GORO Harunobu (CE number ALV033) is an individual licensed by the Hong Kong SFC. First licensed on 2005-03-17. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities).

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeUBS Securities Asia Limited

Licence Record (3)

2023-02-17 – present Current
UBS Securities Asia Limited Rep
RA 4
2019-01-17 – 2020-08-25
Macquarie Capital Limited Rep
RA 4
2005-03-17 – 2018-06-29
Morgan Stanley Asia Limited Rep
RA 1

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/ALV033