Ka Ho Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Ho Lee (李家豪), a licensed Responsible Officer with CE reference BBT497. Currently licensed at 1 firm(s): Hazel Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 11.1 years of SFC licence history. Total licence records on file: 26.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Hazel Securities Limited 海澤證券有限公司 |
RO | Type 9 - Asset management | 2026-06-03 | present |
| Hazel Securities Limited 海澤證券有限公司 |
Rep | Type 1 - Dealing in securities | 2026-01-15 | present |
| Hazel Securities Limited 海澤證券有限公司 |
Rep | Type 4 - Advising on securities | 2026-01-15 | present |
| Hartford Capital Limited 華普資本有限公司 |
RO | Type 9 - Asset management | 2023-11-22 | 2025-09-30 |
| Hartford Capital Limited 華普資本有限公司 |
Rep | Type 9 - Asset management | 2023-10-03 | 2023-11-22 |
| Sheng Yuan Securities Limited 盛源證券有限公司 |
RO | Type 1 - Dealing in securities | 2021-08-18 | 2023-06-07 |
| Sheng Yuan Asset Management Limited 盛源資產管理有限公司 |
RO | Type 4 - Advising on securities | 2021-08-18 | 2023-06-07 |
| Sheng Yuan Asset Management Limited 盛源資產管理有限公司 |
RO | Type 9 - Asset management | 2021-08-18 | 2023-06-07 |
| Augustine Securities Company Limited 奧古證券有限公司 |
RO | Type 1 - Dealing in securities | 2020-08-12 | 2021-08-09 |
| Augustine Asset Management Limited 奧古資產管理有限公司 |
RO | Type 4 - Advising on securities | 2020-08-12 | 2021-08-09 |
| Augustine Asset Management Limited 奧古資產管理有限公司 |
RO | Type 9 - Asset management | 2020-08-12 | 2021-08-09 |
| Augustine Securities Company Limited 奧古證券有限公司 |
Rep | Type 1 - Dealing in securities | 2020-04-28 | 2020-08-12 |
| Augustine Asset Management Limited 奧古資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2020-04-28 | 2020-08-12 |
| Augustine Asset Management Limited 奧古資產管理有限公司 |
Rep | Type 9 - Asset management | 2020-04-28 | 2020-08-12 |
| Mason Investment Management Limited 茂宸投資管理有限公司 |
Rep | Type 1 - Dealing in securities | 2019-06-03 | 2019-11-15 |
| Mason Investment Management Limited 茂宸投資管理有限公司 |
Rep | Type 4 - Advising on securities | 2018-09-17 | 2019-11-15 |
| Mason Investment Management Limited 茂宸投資管理有限公司 |
Rep | Type 9 - Asset management | 2018-09-17 | 2019-11-15 |
| Sinomax Securities Limited 佳富達證券有限公司 |
Rep | Type 1 - Dealing in securities | 2016-11-07 | 2018-09-04 |
| Sinomax Securities Limited 佳富達證券有限公司 |
Rep | Type 4 - Advising on securities | 2016-11-07 | 2018-09-04 |
| Sinomax Securities Limited 佳富達證券有限公司 |
Rep | Type 9 - Asset management | 2016-11-07 | 2018-09-04 |
| SinoPac Asset Management (Asia) Limited 永豐金資產管理(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-04-28 | 2016-06-01 |
| SinoPac Asset Management (Asia) Limited 永豐金資產管理(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2016-04-28 | 2016-06-01 |
| SinoPac Asset Management (Asia) Limited 永豐金資產管理(亞洲)有限公司 |
Rep | Type 9 - Asset management | 2016-04-28 | 2016-06-01 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 9 - Asset management | 2014-08-08 | 2016-02-04 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-08-22 | 2016-02-04 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-08-22 | 2016-02-04 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ka Ho 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.