Ping Yam Kwok
郭秉鑫
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ping Yam Kwok (郭秉鑫), a licensed former licensee with CE reference AFO424. This person has 2.8 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ASA Securities Limited 富國證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-01-13 | 2011-06-10 |
| ASA Securities Limited 富國證券有限公司 |
Rep | Type 1 - Dealing in securities | 2010-11-10 | 2011-06-10 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2010-08-02 | 2010-11-06 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-06-26 | 2007-07-27 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-06-26 | 2007-07-27 |
| FWD Financial Planning Limited 富衛財務策劃有限公司 |
Rep | Type 4 - Advising on securities | 2006-03-14 | 2007-05-31 |
| Karl Thomson Investment Consultants Limited 高信投資顧問有限公司 |
Rep | Type 4 - Advising on securities | 2003-11-04 | 2004-06-24 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ping Yam Kwok 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.