Xiao Le Zhao
趙曉樂
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiao Le Zhao (趙曉樂), a licensed former licensee with CE reference AGC972. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-09-03 | 2020-07-31 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-09-27 | 2011-10-20 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-05-25 | 2010-07-15 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2005-09-15 | 2005-10-01 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2004-07-02 | 2004-10-28 |