Ming San Kwok
郭明燊
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ming San Kwok (郭明燊), a licensed Representative with CE reference APR775. Currently licensed at 1 firm(s): Charles Schwab, Hong Kong, Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 1 — Dealing in securities | 2014-10-06 | present |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 4 — Advising on securities | 2014-10-06 | present |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 5 — Advising on futures contracts | 2014-10-06 | 2016-08-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2011-10-31 | 2014-02-15 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2011-01-31 | 2014-02-15 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-09-27 | 2014-02-15 |