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LUO Peng

羅鵬
CE AUJ707Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

LUO Peng (CE number AUJ707) is an individual licensed by the Hong Kong SFC. First licensed on 2010-01-04. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerPT Capital Partners Limited

Licence Record (7)

2025-10-14 – present Current
PT Capital Partners Limited RO
RA 1
2023-09-05 – 2025-10-14
PT Capital Partners Limited Rep
RA 1
2017-05-17 – 2021-03-31
Wells Fargo Securities Asia Limited RO
RA 1 RA 4
2015-02-17 – 2023-03-22
Wells Fargo Securities Asia Limited Rep
RA 1 RA 4
2014-09-18 – 2015-01-30
PineBridge Investments Hong Kong Limited Rep
RA 1
2013-10-15 – 2015-01-30
PineBridge Investments Asia Limited Rep
RA 1 RA 4
2010-01-04 – 2013-06-26
SG Securities (HK) Limited Rep
RA 1

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AUJ707