David Neil Halek
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Neil Halek, a licensed Responsible Officer with CE reference ACJ179. Currently licensed at 5 firm(s): Planetree Securities Limited, Planetree Futures Limited, Planetree Research Limited, Planetree Discount Lending Limited, Planetree Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 3 - Leveraged foreign exchange trading; Type 4 - Advising on securities; Type 5 - Advising on futures contracts; Type 7 - Providing automated trading services; Type 8 - Securities margin financing; Type 9 - Asset management. This person has 22.8 years of SFC licence history. Total licence records on file: 16.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 3 - Leveraged foreign exchange trading | 2025-06-03 | present |
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 1 - Dealing in securities | 2025-02-21 | present |
| Planetree Futures Limited 梧桐期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2025-02-21 | present |
| Planetree Research Limited | RO | Type 4 - Advising on securities | 2025-02-21 | present |
| Planetree Research Limited | RO | Type 5 - Advising on futures contracts | 2025-02-21 | present |
| Planetree Securities Limited 梧桐證券有限公司 |
RO | Type 7 - Providing automated trading services | 2025-02-21 | present |
| Planetree Discount Lending Limited | RO | Type 8 - Securities margin financing | 2025-02-21 | present |
| Planetree Asset Management Limited 梧桐資產管理有限公司 |
RO | Type 9 - Asset management | 2025-02-18 | present |
| Seekers Advisors H.K. Limited | RO | Type 9 - Asset management | 2013-10-22 | 2024-11-08 |
| Seekers Advisors H.K. Limited | Rep | Type 9 - Asset management | 2013-09-19 | 2013-10-22 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2012-09-12 | 2013-06-03 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 2 - Dealing in futures contracts | 2012-09-12 | 2013-06-03 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2003-08-29 | 2013-06-03 |
| UBS Asset Management (Hong Kong) Limited | RO | Type 9 - Asset management | 2003-08-29 | 2013-06-03 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2003-08-29 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-08-29 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as David Neil Halek 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.