Siu San Rocky Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu San Rocky Lee (李少燊), a licensed Responsible Officer with CE reference AWC885. Currently licensed at 1 firm(s): Shenwan Hongyuan Capital (H.K.) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 15.0 years of SFC licence history. Total licence records on file: 23.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2019-09-23 | present |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 4 - Advising on securities | 2019-09-23 | present |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2019-09-23 | present |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-06-21 | 2019-09-23 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2019-06-21 | 2019-09-23 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2019-06-21 | 2019-09-23 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-06-26 | 2019-06-14 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2018-06-26 | 2019-06-14 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2018-06-26 | 2019-06-14 |
| China Everbright Capital Limited 中國光大融資有限公司 |
RO | Type 1 - Dealing in securities | 2018-02-09 | 2018-06-05 |
| China Everbright Capital Limited 中國光大融資有限公司 |
RO | Type 4 - Advising on securities | 2018-02-09 | 2018-06-05 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2017-05-22 | 2018-02-09 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
RO | Type 4 - Advising on securities | 2017-05-22 | 2018-02-09 |
| China Everbright Capital Limited 中國光大融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2017-05-22 | 2018-06-05 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2016-12-29 | 2017-05-22 |
| China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2016-12-29 | 2017-05-22 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2016-12-29 | 2017-05-22 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 1 - Dealing in securities | 2016-01-15 | 2016-04-02 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 4 - Advising on securities | 2016-01-15 | 2016-04-02 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2016-01-15 | 2016-04-02 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 1 - Dealing in securities | 2010-10-21 | 2016-01-15 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 4 - Advising on securities | 2010-10-21 | 2016-01-15 |
| DBS Asia Capital Limited 星展亞洲融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-10-21 | 2016-01-15 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Siu San Rocky 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.