Tony Sai Kuen Lee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tony Sai Kuen Lee (李世權), a licensed Responsible Officer with CE reference AJH983. Currently licensed at 1 firm(s): J.P. Morgan Broking (Hong Kong) Limited. Active regulated activities: Type 4 - Advising on securities; Type 5 - Advising on futures contracts. This person has 22.1 years of SFC licence history. Total licence records on file: 15.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2014-04-03 | present |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 - Advising on futures contracts | 2014-04-03 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2011-09-26 | 2014-04-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2011-09-26 | 2014-04-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2008-05-22 | 2011-04-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2008-05-22 | 2011-04-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2008-05-22 | 2011-04-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2008-05-22 | 2011-04-06 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2007-07-10 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 5 - Advising on futures contracts | 2007-07-10 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-04-02 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-04-02 | 2009-11-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2005-04-22 | 2007-03-03 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2005-04-22 | 2007-03-03 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2003-12-15 | 2005-04-22 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tony Sai Kuen Lee 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.