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POLLEY Sean Sullivan

CE AXI511Licensed IndividualSFO licence active
Official SFC record

POLLEY Sean Sullivan (CE number AXI511) is an individual licensed by the Hong Kong SFC. First licensed on 2011-05-31. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 9 (Asset management).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativePacific Alliance Investment Management (HK) Limited
太平洋投資策略有限公司

Licence Record (3)

2021-12-21 – present Current
Pacific Alliance Investment Management (HK) Limited Rep
RA 9
2019-09-12 – 2021-07-28
Citadel Asia Limited Rep
RA 9
2011-05-31 – 2019-05-17
Nomura International (Hong Kong) Limited Rep
RA 1 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/AXI511