Charles Xiaojia Li
李小加
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Xiaojia Li (李小加), a licensed former licensee with CE reference ACO556. This person has 0.1 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 - Dealing in securities | Pre-2003 | 2003-04-28 |
| Merrill Lynch Far East Limited | RO | Type 1 - Dealing in securities | Pre-2003 | 2003-04-28 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 - Advising on securities | Pre-2003 | 2003-04-28 |
| Merrill Lynch Far East Limited | RO | Type 4 - Advising on securities | Pre-2003 | 2003-04-28 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 6 - Advising on corporate finance | Pre-2003 | 2003-04-28 |
| Merrill Lynch Far East Limited | RO | Type 6 - Advising on corporate finance | Pre-2003 | 2003-04-28 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 7 - Providing automated trading services | Pre-2003 | 2003-04-28 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 9 - Asset management | Pre-2003 | 2003-04-28 |
| Merrill Lynch Far East Limited | RO | Type 9 - Asset management | Pre-2003 | 2003-04-28 |