Li (SFC:AHD514) Wan
萬里
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Li (SFC:AHD514) Wan (萬里), a licensed Representative with CE reference AHD514. Currently licensed at 1 firm(s): Huatai Financial Holdings (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-11-10 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2022-11-10 | present |
| CICC US Securities (Hong Kong) Limited 中金美國證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-11 | 2020-03-19 |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-12-19 | 2020-03-19 |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | 2011-12-19 | 2020-03-19 |
| CICC US Securities (Hong Kong) Limited 中金美國證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2011-05-25 | 2012-02-17 |
| CICC US Securities, Inc. |
RO | Type 1 — Dealing in securities | 2011-05-25 | 2011-10-31 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
RO | Type 1 — Dealing in securities | 2010-06-02 | 2020-03-19 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-02-12 | 2010-06-02 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-08-28 | 2009-12-12 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2008-07-14 | 2009-12-12 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2005-04-12 | 2008-04-12 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2004-03-31 | 2005-04-11 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | present | 2004-03-08 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2004-03-08 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-03-08 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2004-03-08 |