Stephen Warren Mantle
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Warren Mantle, a licensed former licensee with CE reference ABN072. This person has 13.3 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
RO | Type 2 - Dealing in futures contracts | 2015-07-02 | 2016-07-14 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2015-03-09 | 2016-07-14 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2015-03-09 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2016-07-14 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2016-07-14 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-03-01 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2016-07-14 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Stephen Warren Mantle 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.