Philip Andrew Brooks
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Philip Andrew Brooks, a licensed Representative with CE reference ALJ927. Currently licensed at 1 firm(s): Wellington Management Hong Kong Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2011-01-20 | present |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2011-01-20 | present |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2004-10-28 | 2005-07-15 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2004-10-28 | 2005-07-15 |