Brooke Capital Limited

CE No. AHV181 Licensed corporation Active

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Brooke Capital Limited (), a Hong Kong-based licensed corporation with CE reference AHV181. Currently licensed for regulated activity type(s) 9 — Asset management. Current licensed staff on file: 2 (total recorded over time: 11).

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Registered address

10/F, Yat Chau Building, 262 Des Voeux Road Central

Licence history

Activity	From	To
Type 9 — Asset management	present	present
Type 4 — Advising on securities	present	2012-06-13
Type 5 — Advising on futures contracts	present	2005-02-01

Licensed staff (all-time) (11)
Active on date

4 Advising on securities 5 Advising on futures contracts 9 Asset management

RO only

Name	Activities	First licensed	To
Thomas William Ashworth	RO 4, 9	2011-09	2014-05
Jonathan William Brooke	RO 4, 5, 9	Pre-2003	Present
James Griswold Cameron	RO 4, 9 Rep 4, 9	2009-05	2010-03
Shigen Foo 符史根	RO 4, 9 Rep 4, 9	2009-06	2011-08
Kwok On Kwai 季國安	RO 4, 9 Rep 4, 9	Pre-2003	2010-06
Sally Kwan Lay Lim 林冠麗	RO 9 Rep 9	2012-10	Present
Thomas Alexander Royds	RO 4, 9 Rep 4, 9	2007-03	2010-07
Alex Xinghai Mou	Rep 9	2005-12	2006-10
James Barclay Spence	Rep 9	2006-11	2007-02
Siu Lam Osman Wong 黃兆霖	Rep 4, 9	2012-01	2014-06
Yongxin Zhang 張永鑫	Rep 4, 9	2009-12	2010-08