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WHARTON INVESTMENT ADVISORS LIMITED

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SFC ID:ADW473
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SFC licences & institution history

No current licences
SFC ID:ADW473

Wharton Investment Advisors Limited

1 former names

  1. Wharton Capital Management Limited

    Earlier period—1999.03.04

    SFC name change: 1999.03.04

    No SFO licence period listed under this name

  2. Wharton Investment Advisors Limited

    1999.03.04—Registered name

    Licences in this name periodTYPE 1TYPE 4TYPE 5TYPE 6TYPE 9
Licences of Wharton Investment Advisors Limited (ADW473)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2003.04.01—2004.03.22
TYPE 4Advising on securities
  • 2003.04.01—2015.02.09
TYPE 5Advising on futures contracts
  • 2003.04.01—2015.02.09
TYPE 6Advising on corporate finance
  • 2003.04.01—2004.03.22
TYPE 9Asset management
  • 2003.04.01—2015.02.09