Herbert Stephan Spangenberg
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Herbert Stephan Spangenberg ( ), a licensed former licensee with CE reference AMK344. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
RO | Type 1 — Dealing in securities | 2006-05-11 | 2019-12-16 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
RO | Type 4 — Advising on securities | 2006-05-11 | 2019-12-16 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
RO | Type 5 — Advising on futures contracts | 2006-05-11 | 2016-08-31 |