James Kuo Sheng Luk
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Kuo Sheng Luk (陸覺生), a licensed Representative with CE reference AWA383. Currently licensed at 1 firm(s): Barclays Capital Asia Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. This person has 14.8 years of SFC licence history. Total licence records on file: 13.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2024-02-27 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2024-02-27 | present |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2021-03-18 | 2023-08-03 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2021-03-18 | 2023-08-03 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2021-03-18 | 2023-08-03 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | 2021-03-18 | 2023-08-03 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-08-22 | 2020-10-20 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2011-08-22 | 2013-04-23 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-08-22 | 2020-10-20 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2011-08-22 | 2013-04-23 |
| Mirae Asset Global Investments (Hong Kong) Limited 未來資產環球投資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-10-09 | 2011-08-06 |
| Mirae Asset Global Investments (Hong Kong) Limited 未來資產環球投資(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-10-09 | 2011-08-06 |
| Mirae Asset Global Investments (Hong Kong) Limited 未來資產環球投資(香港)有限公司 |
Rep | Type 9 - Asset management | 2010-10-09 | 2011-08-06 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as James Kuo Sheng Luk 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.