Sam Wan Wai Lok
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sam Wan Wai Lok (駱穩威), a licensed Responsible Officer with CE reference AAK140. Currently licensed at 1 firm(s): Gayang Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 17.8 years of SFC licence history. Total licence records on file: 29.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Gayang Securities Limited 嘉銀證券有限公司 |
RO | Type 1 - Dealing in securities | 2018-12-31 | present |
| Gayang Securities Limited 嘉銀證券有限公司 |
RO | Type 4 - Advising on securities | 2018-12-31 | present |
| Gayang Securities Limited 嘉銀證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-12-07 | 2018-12-31 |
| Gayang Securities Limited 嘉銀證券有限公司 |
Rep | Type 4 - Advising on securities | 2018-12-07 | 2018-12-31 |
| Hong Kong Securities (International) Company Limited 香港證券(國際)有限公司 |
RO | Type 1 - Dealing in securities | 2017-11-20 | 2018-07-27 |
| Hong Kong Securities (International) Company Limited 香港證券(國際)有限公司 |
RO | Type 4 - Advising on securities | 2017-11-20 | 2018-07-27 |
| United Securities Limited 團結證券有限公司 |
RO | Type 1 - Dealing in securities | 2016-09-15 | 2017-05-29 |
| United Securities Limited 團結證券有限公司 |
RO | Type 4 - Advising on securities | 2016-09-15 | 2017-05-29 |
| United Securities Limited 團結證券有限公司 |
Rep | Type 1 - Dealing in securities | 2016-08-01 | 2016-09-15 |
| United Securities Limited 團結證券有限公司 |
Rep | Type 4 - Advising on securities | 2016-08-01 | 2016-09-15 |
| DA International Financial Service Limited 直達國際金融服務有限公司 |
RO | Type 1 - Dealing in securities | 2016-05-10 | 2016-06-24 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-10-27 | 2015-01-23 |
| XinKong International Securities Limited 信控國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2014-06-18 | 2014-07-31 |
| XinKong International Securities Limited 信控國際證券有限公司 |
RO | Type 4 - Advising on securities | 2014-06-18 | 2014-07-31 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-05-21 | 2014-06-18 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2014-05-21 | 2014-06-18 |
| ASA Securities Limited 富國證券有限公司 |
RO | Type 4 - Advising on securities | 2013-01-04 | 2014-05-05 |
| ASA Securities Limited 富國證券有限公司 |
Rep | Type 4 - Advising on securities | 2012-10-25 | 2013-01-04 |
| ASA Securities Limited 富國證券有限公司 |
RO | Type 1 - Dealing in securities | 2012-10-25 | 2014-05-05 |
| Quantsmile (HK) Limited 量盈(香港)有限公司 |
Rep | Type 9 - Asset management | 2012-02-28 | 2012-06-04 |
| T G Securities Limited 滙澤證券有限公司 |
RO | Type 1 - Dealing in securities | 2012-02-28 | 2012-06-04 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 4 - Advising on securities | 2011-08-16 | 2011-12-15 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 9 - Asset management | 2011-08-16 | 2011-12-15 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RO | Type 1 - Dealing in securities | 2011-06-24 | 2011-12-15 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2011-06-20 | 2011-06-24 |
| Merdeka Securities Limited 領智證券有限公司 |
RO | Type 1 - Dealing in securities | 2011-01-17 | 2011-05-18 |
| Merdeka Securities Limited 領智證券有限公司 |
Rep | Type 1 - Dealing in securities | 2010-12-22 | 2011-01-17 |
| South China Research Limited 南華資料研究有限公司 |
Rep | Type 4 - Advising on securities | 2006-04-10 | 2009-11-23 |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 - Dealing in securities | 2005-05-12 | 2010-09-22 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Sam Wan Wai Lok during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.