Jerry Shum
岑立
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jerry Shum (岑立), a licensed former licensee with CE reference AEO903. This person has 2.8 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| JW Capital Securities Limited 君威資本證券有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-11-27 | 2009-06-01 |
| JW Capital Securities Limited 君威資本證券有限公司 |
RO | Type 4 - Advising on securities | 2007-11-27 | 2009-06-01 |
| JW Capital Securities Limited 君威資本證券有限公司 |
RO | Type 9 - Asset management | 2007-11-27 | 2009-06-01 |
| JW Capital Securities Limited 君威資本證券有限公司 |
Rep | Type 9 - Asset management | 2007-10-10 | 2007-11-27 |
| SA Capital Limited | RO | Type 9 - Asset management | 2006-12-12 | 2007-04-10 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-08-09 | 2005-06-01 |
Worked alongside
The 11 closest colleagues, strongest tie first — individuals licensed at the same firm as Jerry Shum 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.
| Name | Shared firm | Overlap |
|---|---|---|
| Chi Ming Wong | JW Capital Securities Limited | 2007–2009 |
| Kai Pong Ng | JW Capital Securities Limited | 2007–2009 |
| Phil Kin Fung Chan | JW Capital Securities Limited | 2007–2009 |
| Marshall Trammell Mays | JW Capital Securities Limited | 2008–2009 |
| Simon Wai On Cheung | JW Capital Securities Limited | 2007–2009 |
| Phillis Miu Ling Wong | JW Capital Securities Limited | 2007–2009 |
| Howard King Ho Tam | JW Capital Securities Limited | 2007–2008 |
| Suk Ching Chan | JW Capital Securities Limited | 2008–2009 |
| Richard S. Roque | SA Capital Limited | 2006–2007 |
| Li-Wen Wang | JW Capital Securities Limited | 2009 |
| Hin Fai Lo | SA Capital Limited | 2006–2007 |