Lok Yin Li
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lok Yin Li (李洛賢), a licensed Representative with CE reference AXL864. Currently licensed at 2 firm(s): CITIC Securities Brokerage (HK) Limited, CITIC Securities Futures (HK) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. This person has 14.0 years of SFC licence history. Total licence records on file: 4.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2022-03-07 | present |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-02-26 | present |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-07-28 | present |
| East Asia Securities Company Limited 東亞證券有限公司 |
Rep | Type 1 - Dealing in securities | 2011-06-22 | 2014-06-23 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Lok Yin 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.