Caroline Wing Sum Woo
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Caroline Wing Sum Woo (胡陳詠心), a licensed Representative with CE reference ANT715. Currently licensed at 1 firm(s): Lucky Guosheng Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 7.3 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
Rep | Type 1 - Dealing in securities | 2021-11-12 | present |
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
Rep | Type 4 - Advising on securities | 2021-11-12 | present |
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
Rep | Type 9 - Asset management | 2021-11-12 | present |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 9 - Asset management | 2018-11-30 | 2019-07-04 |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2018-10-29 | 2019-07-04 |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2018-10-29 | 2019-07-04 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-11-10 | 2018-08-14 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-06-21 | 2018-08-14 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2017-06-21 | 2018-08-14 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2006-08-09 | 2007-04-26 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Caroline Wing Sum Woo 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.