Carrie Ka Wai Wu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carrie Ka Wai Wu (胡嘉慧), a licensed Responsible Officer with CE reference AMF133. Currently licensed at 4 firm(s): Crosby Securities Limited, Emperor Securities Limited, Emperor Wealth Management Limited, Emperor Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 13.7 years of SFC licence history. Total licence records on file: 21.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 1 - Dealing in securities | 2025-12-24 | present |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 4 - Advising on securities | 2025-12-24 | present |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 9 - Asset management | 2025-12-24 | present |
| Emperor Securities Limited 英皇證券有限公司 |
RO | Type 1 - Dealing in securities | 2025-06-26 | present |
| Emperor Wealth Management Limited 英皇財富管理有限公司 |
RO | Type 1 - Dealing in securities | 2025-06-26 | present |
| Emperor Asset Management Limited 英皇資產管理有限公司 |
RO | Type 4 - Advising on securities | 2025-06-26 | present |
| Emperor Securities Limited 英皇證券有限公司 |
RO | Type 4 - Advising on securities | 2025-06-26 | present |
| Emperor Wealth Management Limited 英皇財富管理有限公司 |
RO | Type 4 - Advising on securities | 2025-06-26 | present |
| Emperor Asset Management Limited 英皇資產管理有限公司 |
RO | Type 9 - Asset management | 2025-06-26 | present |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 9 - Asset management | 2022-08-01 | 2025-04-15 |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 1 - Dealing in securities | 2017-05-05 | 2025-04-15 |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 4 - Advising on securities | 2017-05-05 | 2025-04-15 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 9 - Asset management | 2015-12-09 | 2022-08-01 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-10-08 | 2017-05-05 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 4 - Advising on securities | 2015-10-08 | 2017-05-05 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2014-09-30 | 2015-09-18 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 4 - Advising on securities | 2014-09-30 | 2015-09-18 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2006-07-07 | 2007-08-03 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2006-07-07 | 2007-08-03 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2005-07-07 | 2006-07-01 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-07-07 | 2006-07-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Carrie Ka Wai Wu 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.