Li Mao
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Li Mao (毛力), a licensed Responsible Officer with CE reference AQG730. Currently licensed at 2 firm(s): Guoyuan Securities Brokerage (Hong Kong) Limited, Guoyuan Capital (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 17.8 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2020-01-21 | present |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
RO | Type 4 - Advising on securities | 2020-01-21 | present |
| Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2016-08-05 | present |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-09-17 | 2020-01-21 |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2019-09-17 | 2020-01-21 |
| Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-08-05 | 2020-02-17 |
| First Shanghai Capital Limited 第一上海融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2013-01-16 | 2016-06-30 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 4 - Advising on securities | 2011-10-17 | 2013-01-04 |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
RO | Type 4 - Advising on securities | 2010-05-26 | 2011-04-22 |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-01-15 | 2010-05-26 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 4 - Advising on securities | 2008-02-18 | 2009-12-15 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Li Mao 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.