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KAVVATHAS Dimitrios

CE ASN702Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KAVVATHAS Dimitrios (CE number ASN702) is an individual licensed by the Hong Kong SFC. First licensed on 2009-03-09. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerHarmony Advisors Limited
喜望利顧問有限公司

Licence Record (7)

2016-06-06 – present Current
Harmony Advisors Limited RO
RA 1 RA 2 RA 4 RA 9
2014-01-08 – 2014-06-03
VTB Capital Hong Kong Limited RO
RA 1
2013-11-08 – 2014-01-08
VTB Capital Hong Kong Limited Rep
RA 1
2009-05-14 – 2013-02-28
Goldman Sachs (Asia) L.L.C. RO
RA 1 RA 5
2009-05-14 – 2013-02-28
Goldman Sachs Futures (Asia) Limited RO
RA 2 RA 5
2009-03-09 – 2009-05-14
Goldman Sachs (Asia) L.L.C. Rep
RA 1
2009-03-09 – 2009-05-14
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/ASN702