Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

SCHWARTZ Bradley Harris

CE APL961Licensed IndividualSFO licence active
Official SFC record

SCHWARTZ Bradley Harris (CE number APL961) is an individual licensed by the Hong Kong SFC. First licensed on 2007-09-03. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing).

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeCLSA Limited
中信里昂證券有限公司

Licence Record (4)

2025-09-02 – present Current
CLSA Limited Rep
RA 1
2007-09-03 – 2008-10-21
Merrill Lynch (Asia Pacific) Limited Rep
RA 1
2007-09-03 – 2008-10-21
Merrill Lynch Far East Limited Rep
RA 1
2007-09-03 – 2008-10-21
Merrill Lynch Futures (Hong Kong) 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/APL961