Shu-Chuan Kuo
郭淑娟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shu-Chuan Kuo (郭淑娟), a licensed former licensee with CE reference ADV811. This person has 9.3 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 - Advising on securities | 2006-07-03 | 2012-09-03 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 - Dealing in securities | 2006-06-23 | 2012-09-03 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2006-06-23 | 2012-09-03 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 - Advising on futures contracts | 2006-06-23 | 2012-09-03 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-09-30 | 2006-05-24 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 5 - Advising on futures contracts | 2005-09-30 | 2006-05-24 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2006-05-24 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2005-10-04 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-05-18 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-05-18 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-05-18 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-05-18 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2004-05-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Shu-Chuan Kuo 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.