SFC Licences of LUO Peng 羅鵬
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| PT Capital Partners Limited | RE | 1 | 05 September 2023 | |
| Wells Fargo Securities Asia Limited | RE | 4 | 31 March 2021 | 22 March 2023 |
| Wells Fargo Securities Asia Limited | RE | 1 | 31 March 2021 | 22 March 2023 |
| Wells Fargo Securities Asia Limited | RO | 4 | 17 May 2017 | 31 March 2021 |
| Wells Fargo Securities Asia Limited | RO | 1 | 17 May 2017 | 31 March 2021 |
| Wells Fargo Securities Asia Limited | RE | 4 | 17 February 2015 | 17 May 2017 |
| Wells Fargo Securities Asia Limited | RE | 1 | 17 February 2015 | 17 May 2017 |
| PineBridge Investments Hong Kong Limited 柏瑞投資香港有限公司 | RE | 1 | 18 September 2014 | 30 January 2015 |
| PineBridge Investments Asia Limited 柏瑞投資亞洲有限公司 | RE | 4 | 15 October 2013 | 30 January 2015 |
| PineBridge Investments Asia Limited 柏瑞投資亞洲有限公司 | RE | 1 | 15 October 2013 | 30 January 2015 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 | RE | 1 | 04 January 2010 | 26 June 2013 |