Jodie Sum Yin Li
李心妍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jodie Sum Yin Li (李心妍), a licensed former licensee with CE reference AGO970. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2011-11-30 | 2013-11-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2010-11-05 | 2013-11-09 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2007-02-27 | 2010-10-28 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2003-10-16 | 2010-10-28 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | present | 2010-10-28 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | present | 2003-10-15 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2003-10-15 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | present | 2003-10-15 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 - Asset management | present | 2003-10-15 |