Charles Schmitt & Associates Limited
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Schmitt & Associates Limited ( ), CE reference ACH210. Current licensed staff on file: 0.
Licence history
| Activity | From | To |
|---|---|---|
| Type 4 — Advising on securities | present | 2005-02-05 |
| Type 6 — Advising on corporate finance | present | 2005-02-05 |
| Type 9 — Asset management | present | 2005-02-05 |
Licensed staff (all-time) (9)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Christopher Anthony Aiello | RO 4, 9 | Pre-2003 | 2005-02 |
| Jennifer Carver McLennan | RO 4, 9 | Pre-2003 | 2004-07 |
| Charles Lee Schmitt | RO 4, 9 | Pre-2003 | 2005-02 |
| Frederick Tse Wai Wu 吳子惠 | RO 4, 9 | Pre-2003 | 2003-10 |
| Ying Kit Kwan 關英傑 | Rep 4 | 2003-05 | 2004-07 |
| Suk Yee (SFC:AFA639) Lee 李淑儀 | Rep 4, 6, 9 | Pre-2003 | 2005-02 |
| Brian Alexander MacDougall | Rep 4, 6, 9 | Pre-2003 | 2004-07 |
| Viola Fung Yi Tam Cheung 譚張鳳儀 | Rep 4, 9 | 2004-04 | 2004-07 |
| Kelly Kim Weng Tong | Rep 4, 6, 9 | Pre-2003 | 2005-02 |
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