Sze Wan Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sze Wan Lee (李詩韻), a licensed Responsible Officer with CE reference AKS933. Currently licensed at 2 firm(s): Ping An Securities (Hong Kong) Company Limited, Ping An of China Capital (Hong Kong) Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 21.3 years of SFC licence history. Total licence records on file: 27.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ping An Securities (Hong Kong) Company Limited 平安證券（香港）有限公司 |
RO | Type 1 - Dealing in securities | 2026-03-25 | present |
| Ping An Securities (Hong Kong) Company Limited 平安證券（香港）有限公司 |
RO | Type 4 - Advising on securities | 2026-03-25 | present |
| Ping An of China Capital (Hong Kong) Company Limited 中國平安資本(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2026-03-25 | present |
| Ping An Securities (Hong Kong) Company Limited 平安證券（香港）有限公司 |
Rep | Type 1 - Dealing in securities | 2026-01-27 | 2026-03-25 |
| Ping An Securities (Hong Kong) Company Limited 平安證券（香港）有限公司 |
Rep | Type 4 - Advising on securities | 2026-01-27 | 2026-03-25 |
| Ping An of China Capital (Hong Kong) Company Limited 中國平安資本(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2026-01-27 | 2026-03-25 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2014-11-24 | 2025-08-31 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2014-11-24 | 2025-08-31 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2014-11-24 | 2025-08-31 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-09-30 | 2014-11-24 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-09-30 | 2014-11-24 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-09-30 | 2014-11-24 |
| Frontier Capital Investment Limited 方達資本投資有限公司 |
RO | Type 1 - Dealing in securities | 2014-08-18 | 2014-08-31 |
| Frontier Capital Investment Limited 方達資本投資有限公司 |
RO | Type 4 - Advising on securities | 2014-08-18 | 2014-08-31 |
| Frontier Capital Investment Limited 方達資本投資有限公司 |
RO | Type 6 - Advising on corporate finance | 2014-08-18 | 2014-08-31 |
| Frontier Capital Investment Limited 方達資本投資有限公司 |
Rep | Type 1 - Dealing in securities | 2014-07-15 | 2014-08-18 |
| Frontier Capital Investment Limited 方達資本投資有限公司 |
Rep | Type 4 - Advising on securities | 2014-07-15 | 2014-08-18 |
| Frontier Capital Investment Limited 方達資本投資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-07-15 | 2014-08-18 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 1 - Dealing in securities | 2011-11-02 | 2014-06-18 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 4 - Advising on securities | 2011-11-02 | 2014-06-18 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2011-11-02 | 2014-06-18 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 1 - Dealing in securities | 2011-10-12 | 2011-11-02 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 4 - Advising on securities | 2011-10-12 | 2011-11-02 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-10-12 | 2011-11-02 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 - Dealing in securities | 2006-09-27 | 2011-09-20 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 - Advising on corporate finance | 2006-09-25 | 2011-09-20 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2004-08-06 | 2006-09-15 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Sze Wan Lee 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.