Howard Lok Him Wong
王諾謙
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Howard Lok Him Wong (王諾謙), CE reference AMX945. Currently licensed at 1 firm(s): SR Wealth Securities Limited. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SR Wealth Securities Limited 中富證券有限公司 |
RO | Type 9 — Asset management | 2022-05-20 | present |
| SR Wealth Securities Limited 中富證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2021-11-18 | present |
| SR Wealth Securities Limited 中富證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-11-19 | present |
| SR Wealth Securities Limited 中富證券有限公司 |
RO | Type 4 — Advising on securities | 2019-11-19 | present |
| SR Wealth Securities Limited 中富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-11-12 | 2019-11-19 |
| SR Wealth Securities Limited 中富證券有限公司 |
Rep | Type 4 — Advising on securities | 2019-11-12 | 2019-11-19 |
| Major Asset Management Limited 美捷資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2018-08-29 | 2019-10-22 |
| Major Asset Management Limited 美捷資產管理有限公司 |
RO | Type 4 — Advising on securities | 2018-08-29 | 2019-10-22 |
| Major Asset Management Limited 美捷資產管理有限公司 |
RO | Type 9 — Asset management | 2018-08-29 | 2019-10-22 |
| Midas Securities Limited 金源證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-02-21 | 2018-07-27 |
| Midas Securities Limited 金源證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2017-02-21 | 2018-07-27 |
| Midas Securities Limited 金源證券有限公司 |
RO | Type 4 — Advising on securities | 2017-02-21 | 2018-07-27 |
| Midas Securities Limited 金源證券有限公司 |
RO | Type 9 — Asset management | 2017-02-21 | 2018-07-27 |
| Futu Securities International (Hong Kong) Limited 富途證券國際(香港)有限公司 |
RO | Type 9 — Asset management | 2015-07-24 | 2016-05-03 |
| Futu Securities International (Hong Kong) Limited 富途證券國際(香港)有限公司 |
RO | Type 4 — Advising on securities | 2015-06-02 | 2016-05-03 |
| Futu Securities International (Hong Kong) Limited 富途證券國際(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2013-07-10 | 2016-05-03 |
| Futu Securities International (Hong Kong) Limited 富途證券國際(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-10-04 | 2016-05-03 |
| Goldin Equities Limited 高銀(證券)有限公司 |
RO | Type 1 — Dealing in securities | 2011-09-01 | 2012-09-27 |
| Goldin Equities Limited 高銀(證券)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-02-03 | 2012-09-27 |
| Goldin Equities Limited 高銀(證券)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-07-27 | 2011-09-01 |