Charles Broadfoot Holmes
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Broadfoot Holmes, a licensed former licensee with CE reference AUG616. This person has 5.1 years of SFC licence history. Total licence records on file: 2.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2012-05-11 | 2015-03-15 |
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2010-02-12 | 2015-03-15 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Charles Broadfoot Holmes during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.