Richard Anthony Treadgold Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Anthony Treadgold Lee, a licensed former licensee with CE reference AFT495. This person has 13.4 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2016-04-06 | 2016-09-09 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2016-04-06 | 2016-09-09 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-01-22 | 2016-09-09 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 - Advising on securities | 2015-01-22 | 2016-01-21 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2006-01-16 | 2016-04-06 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2006-01-16 | 2016-04-06 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2006-01-16 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2006-01-16 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2005-03-08 |