Nick Yiu Kwong Man
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nick Yiu Kwong Man (文耀光), a licensed Responsible Officer with CE reference AGZ760. Currently licensed at 1 firm(s): uSmart Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 22.3 years of SFC licence history. Total licence records on file: 25.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| uSmart Securities Limited 盈立證券有限公司 |
RO | Type 1 - Dealing in securities | 2025-11-28 | present |
| uSmart Securities Limited 盈立證券有限公司 |
RO | Type 6 - Advising on corporate finance | 2025-11-28 | present |
| Somerley Capital Limited 新百利融資有限公司 |
RO | Type 1 - Dealing in securities | 2022-09-21 | 2025-05-01 |
| Somerley Capital Limited 新百利融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2022-09-21 | 2025-05-01 |
| Somerley Capital Limited 新百利融資有限公司 |
Rep | Type 1 - Dealing in securities | 2022-06-21 | 2022-09-21 |
| Somerley Capital Limited 新百利融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2022-06-21 | 2022-09-21 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 1 - Dealing in securities | 2018-07-09 | 2022-01-14 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2018-07-09 | 2022-01-14 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 - Dealing in securities | 2018-07-05 | 2018-07-09 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2018-07-05 | 2018-07-09 |
| VMS Securities Limited 鼎珮證券有限公司 |
RO | Type 1 - Dealing in securities | 2015-09-14 | 2018-06-30 |
| VMS Securities Limited 鼎珮證券有限公司 |
RO | Type 4 - Advising on securities | 2015-09-14 | 2018-06-30 |
| VMS Securities Limited 鼎珮證券有限公司 |
RO | Type 6 - Advising on corporate finance | 2015-09-14 | 2018-06-30 |
| VMS Securities Limited 鼎珮證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-08-13 | 2015-09-14 |
| VMS Securities Limited 鼎珮證券有限公司 |
Rep | Type 4 - Advising on securities | 2015-08-13 | 2015-09-14 |
| VMS Securities Limited 鼎珮證券有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-08-13 | 2015-09-14 |
| Templewater Hong Kong Limited 善水資本香港有限公司 |
RO | Type 1 - Dealing in securities | 2011-03-22 | 2015-07-31 |
| Templewater Hong Kong Limited 善水資本香港有限公司 |
RO | Type 4 - Advising on securities | 2011-03-22 | 2015-07-31 |
| Templewater Hong Kong Limited 善水資本香港有限公司 |
RO | Type 6 - Advising on corporate finance | 2011-03-22 | 2015-07-31 |
| Templewater Hong Kong Limited 善水資本香港有限公司 |
Rep | Type 1 - Dealing in securities | 2008-02-01 | 2011-03-22 |
| Templewater Hong Kong Limited 善水資本香港有限公司 |
Rep | Type 4 - Advising on securities | 2007-05-22 | 2011-03-22 |
| Templewater Hong Kong Limited 善水資本香港有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-05-22 | 2011-03-22 |
| AMS Capital Limited 博資有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2007-04-30 |
| AMS Capital Limited 博資有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2007-04-30 |
| AMS Capital Limited 博資有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-02-12 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Nick Yiu Kwong Man 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.