Alice Tze Chu Lo
盧子珠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alice Tze Chu Lo (盧子珠), a licensed Representative with CE reference AFP974. Currently licensed at 2 firm(s): UOB Kay Hian (Hong Kong) Limited, UOB Kay Hian Futures (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. This person has 23.0 years of SFC licence history. Total licence records on file: 19.
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-05-26 | present |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-05-26 | present |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2017-05-26 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2014-03-07 | 2017-05-17 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-03-07 | 2017-05-17 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2014-03-07 | 2017-05-17 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2011-11-01 | 2013-11-26 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2010-09-20 | 2013-11-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2008-05-22 | 2013-11-26 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2008-05-22 | 2010-09-20 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2003-10-16 | 2008-05-14 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2008-05-14 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2008-05-14 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-10-10 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-10-10 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-10-10 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-10-10 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-10-10 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-10-10 |