Stephen Wai Ming Au
區偉明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Wai Ming Au (區偉明), a licensed former licensee with CE reference AGV321. This person has 3.6 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wachovia Advisors International Limited | Rep | Type 4 - Advising on securities | 2008-04-14 | 2009-06-02 |
| Wachovia Advisors International Limited | Rep | Type 9 - Asset management | 2008-04-14 | 2009-06-02 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2005-09-10 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-08-11 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-08-11 |
Worked alongside
The 5 closest colleagues, strongest tie first — individuals licensed at the same firm as Stephen Wai Ming Au 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 |
|---|---|---|
| Chee Keong Goh | Wachovia Advisors International Limited | 2008–2009 |
| John Christian Antweiler III | Wachovia Advisors International Limited | 2008–2009 |
| Yu-Ming Wang | Wachovia Advisors International Limited | 2008–2009 |
| Hing Hung Lo | Wachovia Advisors International Limited | 2008–2009 |
| Yik Fong Kwan | Wachovia Advisors International Limited | 2008–2009 |