Tsz Man Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tsz Man Lee (李子文), a licensed Responsible Officer with CE reference BAF948. Currently licensed at 1 firm(s): RAM Investment Advisors Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 13.4 years of SFC licence history. Total licence records on file: 21.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RAM Investment Advisors Limited 譽信投資管理有限公司 |
RO | Type 1 - Dealing in securities | 2024-10-07 | present |
| RAM Investment Advisors Limited 譽信投資管理有限公司 |
RO | Type 4 - Advising on securities | 2024-10-07 | present |
| RAM Investment Advisors Limited 譽信投資管理有限公司 |
RO | Type 9 - Asset management | 2024-10-07 | present |
| RAM Investment Advisors Limited 譽信投資管理有限公司 |
Rep | Type 1 - Dealing in securities | 2024-05-13 | 2024-10-07 |
| RAM Investment Advisors Limited 譽信投資管理有限公司 |
Rep | Type 4 - Advising on securities | 2024-05-13 | 2024-10-07 |
| RAM Investment Advisors Limited 譽信投資管理有限公司 |
Rep | Type 9 - Asset management | 2024-05-13 | 2024-10-07 |
| Avenue Investment Management Limited 道信投資管理有限公司 |
Rep | Type 1 - Dealing in securities | 2023-12-12 | 2024-02-29 |
| Avenue Investment Management Limited 道信投資管理有限公司 |
Rep | Type 4 - Advising on securities | 2023-12-12 | 2024-02-29 |
| Avenue Investment Management Limited 道信投資管理有限公司 |
Rep | Type 9 - Asset management | 2023-12-12 | 2024-02-29 |
| Avenue Investment Management Limited 道信投資管理有限公司 |
RO | Type 1 - Dealing in securities | 2023-05-04 | 2023-12-12 |
| Avenue Investment Management Limited 道信投資管理有限公司 |
RO | Type 4 - Advising on securities | 2023-05-04 | 2023-12-12 |
| Avenue Investment Management Limited 道信投資管理有限公司 |
RO | Type 9 - Asset management | 2023-05-04 | 2023-12-12 |
| Avenue Investment Management Limited 道信投資管理有限公司 |
Rep | Type 1 - Dealing in securities | 2022-10-05 | 2023-05-04 |
| Avenue Investment Management Limited 道信投資管理有限公司 |
Rep | Type 4 - Advising on securities | 2022-10-05 | 2023-05-04 |
| Avenue Investment Management Limited 道信投資管理有限公司 |
Rep | Type 9 - Asset management | 2022-10-05 | 2023-05-04 |
| VMS Asset Management Limited 鼎珮資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2021-12-16 | 2022-09-17 |
| VMS Asset Management Limited 鼎珮資產管理有限公司 |
Rep | Type 9 - Asset management | 2021-07-05 | 2022-09-17 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2017-11-16 | 2021-06-04 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
Rep | Type 9 - Asset management | 2017-11-16 | 2021-06-04 |
| Moody's Investors Service Hong Kong Limited | Rep | Type 10 - Providing credit rating services | 2012-12-28 | 2017-10-27 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 4 - Advising on securities | 2012-09-25 | 2012-12-19 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tsz Man 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.