Yen-Ting Kuo
郭彥廷
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yen-Ting Kuo (郭彥廷), a licensed former licensee with CE reference AHK087. This person has 5.7 years of SFC licence history. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aspenwood Capital Limited 嘉桓資本有限公司 |
Rep | Type 4 - Advising on securities | 2021-09-06 | 2026-07-03 |
| Aspenwood Capital Limited 嘉桓資本有限公司 |
Rep | Type 9 - Asset management | 2021-09-06 | 2026-07-03 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-04-30 | 2011-01-12 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-04-30 | 2011-01-12 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-05-30 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-05-30 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-05-30 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-05-30 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-05-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yen-Ting 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.