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Holmes, Charles Broadfoot Hong Kong SFC License Details (ID 91084)
Holmes, Charles Broadfoot
SFC ID:
AUG616
Key Data
SFC Licenses
Public Disciplinary Actions
SFC licenses
A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.
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Organisation
Role
Activity
From
Until
Oppenheimer Investments Asia Limited
RO
Advising on corporate finance
2012-05-11
2015-03-15
RO
Dealing in securities
2010-02-12
2015-03-15