Peng (SFC:AUJ707) Luo
羅鵬
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Peng (SFC:AUJ707) Luo (羅鵬), a licensed Responsible Officer with CE reference AUJ707. Currently licensed at 1 firm(s): PT Capital Partners Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| PT Capital Partners Limited |
RO | Type 1 — Dealing in securities | 2025-10-14 | present |
| PT Capital Partners Limited |
Rep | Type 1 — Dealing in securities | 2023-09-05 | 2025-10-14 |
| Wells Fargo Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2021-03-31 | 2023-03-22 |
| Wells Fargo Securities Asia Limited | Rep | Type 4 — Advising on securities | 2021-03-31 | 2023-03-22 |
| Wells Fargo Securities Asia Limited | RO | Type 1 — Dealing in securities | 2017-05-17 | 2021-03-31 |
| Wells Fargo Securities Asia Limited | RO | Type 4 — Advising on securities | 2017-05-17 | 2021-03-31 |
| Wells Fargo Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2015-02-17 | 2017-05-17 |
| Wells Fargo Securities Asia Limited | Rep | Type 4 — Advising on securities | 2015-02-17 | 2017-05-17 |
| PineBridge Investments Hong Kong Limited 柏瑞投資香港有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-18 | 2015-01-30 |
| PineBridge Investments Asia Limited 柏瑞投資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2013-10-15 | 2015-01-30 |
| PineBridge Investments Asia Limited 柏瑞投資亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2013-10-15 | 2015-01-30 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-01-04 | 2013-06-26 |