Brooker, Anthony (SFC:AGK901)
SFC licenses
Rep=Representative, RO=Responsible Officer. 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 | |
|---|---|---|---|---|---|
| 1 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2004-02-11 | |
| 2 | Morgan Stanley Asia Limited | Rep | Advising on securities | 2004-02-11 | |
| 3 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2007-07-06 | |
| 4 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2007-07-06 | |
| 5 | Morgan Stanley Hong Kong Futures Limited | Rep | Dealing in futures contracts | 2007-07-06 | |
| 6 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2007-07-25 | 2008-09-29 |
| 7 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2007-07-06 | |
| 8 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in securities | 2007-07-25 | 2008-09-29 |
| 9 | MIZUHO SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2008-11-25 | 2011-04-20 |
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