Stuart Mercier
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stuart Mercier ( ), a licensed former licensee with CE reference BDH940. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Brookfield Advisors (Hong Kong) Limited |
RO | Type 1 — Dealing in securities | 2017-05-22 | 2024-04-01 |
| Brookfield Advisors (Hong Kong) Limited |
RO | Type 4 — Advising on securities | 2017-05-22 | 2024-04-01 |
| Brookfield Advisors (Hong Kong) Limited |
Rep | Type 1 — Dealing in securities | 2017-03-06 | 2017-05-22 |
| Brookfield Advisors (Hong Kong) Limited |
Rep | Type 4 — Advising on securities | 2017-03-06 | 2017-05-22 |
| BFIN Private Advisors (Hong Kong) Limited |
RO | Type 1 — Dealing in securities | 2015-09-15 | 2017-01-16 |
| BFIN Private Advisors (Hong Kong) Limited |
RO | Type 4 — Advising on securities | 2015-09-15 | 2017-01-16 |
| BFIN Private Advisors (Hong Kong) Limited |
Rep | Type 1 — Dealing in securities | 2014-04-22 | 2015-09-15 |
| BFIN Private Advisors (Hong Kong) Limited |
Rep | Type 4 — Advising on securities | 2014-04-22 | 2015-09-15 |