Sophia Shuk Woon Lee
李淑媛
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sophia Shuk Woon Lee (李淑媛), a licensed former licensee with CE reference AHD383. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Elixir Capital Management Limited 創富資產有限公司 |
RO | Type 9 — Asset management | 2009-02-18 | 2023-07-31 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-04-10 | 2006-11-04 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-03-21 | 2006-11-04 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-12-29 | 2006-03-02 |
| CASH Research Limited 時富證券研究有限公司 |
Rep | Type 4 — Advising on securities | 2004-12-15 | 2005-03-31 |
| Oriental Patron Securities Limited 東英亞洲證券有限公司 |
Rep | Type 4 — Advising on securities | 2004-05-07 | 2004-12-03 |
| Oriental Patron Asia Limited 東英亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-05-06 |
| Oriental Patron Asia Limited 東英亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-05-05 |
| Oriental Patron Asia Limited 東英亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-05-05 |