Charles Alan Heathcote Alexander
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Alan Heathcote Alexander, a licensed former licensee with CE reference ALI373. This person has 4.2 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2009-07-28 | 2010-06-03 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2009-07-28 | 2010-06-03 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2009-07-28 | 2010-06-03 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 4 - Advising on securities | 2005-07-15 | 2008-02-01 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 6 - Advising on corporate finance | 2004-12-21 | 2008-02-01 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 - Advising on securities | 2004-10-12 | 2005-07-15 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2004-10-12 | 2004-12-21 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Charles Alan Heathcote Alexander 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.