Lu Li
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lu Li (李璐), a licensed Responsible Officer with CE reference AWW550. Currently licensed at 2 firm(s): CCB International Securities Limited, CCB International Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 15.4 years of SFC licence history. Total licence records on file: 16.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CCB International Securities Limited 建銀國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2026-06-09 | present |
| CCB International Securities Limited 建銀國際證券有限公司 |
RO | Type 4 - Advising on securities | 2026-06-09 | present |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2020-04-15 | present |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
RO | Type 4 - Advising on securities | 2020-04-15 | present |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
RO | Type 9 - Asset management | 2020-04-15 | present |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2026-03-02 | 2026-06-09 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2026-03-02 | 2026-06-09 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2019-12-18 | 2020-04-15 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2019-12-11 | 2020-04-15 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
Rep | Type 9 - Asset management | 2019-12-11 | 2020-04-15 |
| ABCI Asset Management Limited 農銀國際資産管理有限公司 |
RO | Type 4 - Advising on securities | 2014-01-29 | 2019-11-19 |
| ABCI Asset Management Limited 農銀國際資産管理有限公司 |
RO | Type 9 - Asset management | 2014-01-29 | 2019-11-19 |
| ABCI Asset Management Limited 農銀國際資産管理有限公司 |
Rep | Type 4 - Advising on securities | 2013-12-12 | 2014-01-29 |
| ABCI Asset Management Limited 農銀國際資産管理有限公司 |
Rep | Type 9 - Asset management | 2013-12-12 | 2014-01-29 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2011-03-01 | 2013-11-29 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2011-03-01 | 2013-11-29 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Lu Li 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.