Stuart James Gates
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stuart James Gates, a licensed Responsible Officer with CE reference ABG651. Currently licensed at 1 firm(s): CCB International Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 23.2 years of SFC licence history. Total licence records on file: 12.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CCB International Securities Limited 建銀國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2009-01-08 | present |
| CCB International Securities Limited 建銀國際證券有限公司 |
RO | Type 4 - Advising on securities | 2009-01-08 | present |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2008-07-23 | 2009-01-08 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2008-07-23 | 2009-01-08 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-07-09 | 2008-05-30 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2005-02-07 | 2008-05-30 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2005-02-07 | 2008-05-30 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-02-07 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2005-02-07 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-12-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-12-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-12-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Stuart James Gates 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.