Charles Stephen Anthony Brooke
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Stephen Anthony Brooke, a licensed former licensee with CE reference BQE331. This person has 4.4 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 |
RO | Type 1 - Dealing in securities | 2024-07-19 | 2025-04-24 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
RO | Type 1 - Dealing in securities | 2022-12-16 | 2025-04-24 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
RO | Type 4 - Advising on securities | 2022-12-16 | 2025-04-24 |
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2022-05-24 | 2025-04-24 |
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 |
Rep | Type 9 - Asset management | 2022-05-24 | 2025-04-24 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
Rep | Type 1 - Dealing in securities | 2021-11-26 | 2022-12-16 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2021-11-26 | 2022-12-31 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
Rep | Type 9 - Asset management | 2021-11-26 | 2022-12-31 |
| abrdn Hong Kong Limited 安本香港有限公司 |
Rep | Type 1 - Dealing in securities | 2020-11-03 | 2021-11-05 |
| abrdn Hong Kong Limited 安本香港有限公司 |
Rep | Type 4 - Advising on securities | 2020-11-03 | 2021-11-05 |
| abrdn Hong Kong Limited 安本香港有限公司 |
Rep | Type 9 - Asset management | 2020-11-03 | 2021-11-05 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Charles Stephen Anthony Brooke 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.