Brooke Capital Limited
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Brooke Capital Limited ( ), CE reference AHV181. Currently licensed for regulated activity type(s) 9. Current licensed staff on file: 2.
Registered address
10/F, Yat Chau Building, 262 Des Voeux Road Central
Licence history
| Activity | From | To |
|---|---|---|
| Type 9 — Asset management | present | present |
| Type 4 — Advising on securities | present | 2012-06-13 |
| Type 5 — Advising on futures contracts | present | 2005-02-01 |
Licensed staff (all-time) (11)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Thomas William Ashworth | RO 4, 9 | 2011-09 | 2014-05 |
| Jonathan William Brooke | RO 4, 5, 9 | Pre-2003 | Present |
| James Griswold Cameron | RO 4, 9 Rep 4, 9 | 2009-05 | 2010-03 |
| Shigen Foo 符史根 | RO 4, 9 Rep 4, 9 | 2009-06 | 2011-08 |
| Kwok On Kwai 季國安 | RO 4, 9 Rep 4, 9 | Pre-2003 | 2010-06 |
| Sally Kwan Lay Lim 林冠麗 | RO 9 Rep 9 | 2012-10 | Present |
| Thomas Alexander Royds | RO 4, 9 Rep 4, 9 | 2007-03 | 2010-07 |
| Alex Xinghai Mou | Rep 9 | 2005-12 | 2006-10 |
| James Barclay Spence | Rep 9 | 2006-11 | 2007-02 |
| Siu Lam Osman Wong 黃兆霖 | Rep 4, 9 | 2012-01 | 2014-06 |
| Yongxin Zhang 張永鑫 | Rep 4, 9 | 2009-12 | 2010-08 |
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