Alan Yiu Chung Lee
李耀宗
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alan Yiu Chung Lee (李耀宗), a licensed Representative with CE reference AFS979. Currently licensed at 1 firm(s): Orient Capital (Hong Kong) Limited. Active regulated activities: Type 6 — Advising on corporate finance. Total licence records on file: 23.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Orient Capital (Hong Kong) Limited 東方融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2026-04-27 | present |
| Fortune Financial Capital Limited 富強金融資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2025-11-25 | 2026-03-08 |
| Fortune Financial Capital Limited 富強金融資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2025-10-28 | 2025-11-25 |
| Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2018-04-09 | 2023-05-31 |
| Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-04-09 | 2023-05-31 |
| Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-09-20 | 2018-04-09 |
| Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-09-20 | 2018-04-09 |
| Yi Shun Da Capital Limited 易順達融資有限公司 |
RO | Type 1 — Dealing in securities | 2016-03-15 | 2017-09-10 |
| Yi Shun Da Capital Limited 易順達融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-03-15 | 2017-09-10 |
| Yi Shun Da Capital Limited 易順達融資有限公司 |
Rep | Type 1 — Dealing in securities | 2016-03-09 | 2016-03-15 |
| Yi Shun Da Capital Limited 易順達融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-03-09 | 2016-03-15 |
| Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2014-10-30 | 2016-02-19 |
| Guoyuan Capital (Hong Kong) Limited 國元融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-10-30 | 2016-02-19 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
RO | Type 1 — Dealing in securities | 2012-09-20 | 2014-06-12 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-09-20 | 2014-06-12 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-16 | 2012-09-20 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-05-16 | 2012-09-20 |
| Beijing Securities Limited 北京證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-03-15 | 2011-05-15 |
| Beijing Securities Limited 北京證券有限公司 |
Rep | Type 4 — Advising on securities | 2010-03-15 | 2011-05-15 |
| Beijing Securities Limited 北京證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-03-15 | 2011-05-15 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
Rep | Type 1 — Dealing in securities | 2006-09-22 | 2010-02-26 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
Rep | Type 4 — Advising on securities | 2006-09-22 | 2010-02-26 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-09-22 | 2010-02-26 |