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CARROLL Shane

CE BEA790Licensed IndividualSFO licence active
Official SFC record

CARROLL Shane (CE number BEA790) is an individual licensed by the Hong Kong SFC. First licensed on 2014-08-18. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeUBS Securities Asia Limited
RepresentativeUBS Securities Hong Kong Limited

Licence Record (4)

2018-04-24 – present Current
UBS Securities Asia Limited Rep
RA 1 RA 2
2018-04-24 – present Current
UBS Securities Hong Kong Limited Rep
RA 1 RA 2
2016-10-13 – 2018-02-26
Citigroup Global Markets Asia Limited Rep
RA 1 RA 2 RA 4
2014-08-18 – 2016-06-24
SG Securities (HK) 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/BEA790