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GALLAGHER Richard William Leslie

CE AOH529Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

GALLAGHER Richard William Leslie (CE number AOH529) is an individual licensed by the Hong Kong SFC. First licensed on 2006-12-15. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 7 (Automated trading). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 7 Providing Automated Trading Services

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerState Street Securities Hong Kong Limited

Licence Record (8)

2025-03-26 – present Current
State Street Securities Hong Kong Limited RO
RA 1
2025-01-22 – 2025-03-26
State Street Securities Hong Kong Limited Rep
RA 1
2021-08-06 – 2023-01-12
Morgan Stanley Asia Limited Rep
RA 1
2021-08-06 – 2023-01-12
Morgan Stanley Hong Kong Securities Limited Rep
RA 1 RA 2 RA 7
2016-05-18 – 2021-04-14
HSBC Broking Futures (Hong Kong) Limited Rep
RA 2
2010-12-15 – 2021-04-14
HSBC Securities Brokers (Asia) Limited Rep
RA 1
2006-12-15 – 2009-02-16
Goldman Sachs (Asia) L.L.C. Rep
RA 1
2006-12-15 – 2009-02-16
Goldman Sachs Futures (Asia) Limited Rep
RA 2

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/AOH529