Nicholas Kong Tze Lee
李光祖
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Kong Tze Lee (李光祖), a licensed Representative with CE reference ANG864. Currently licensed at 2 firm(s): Goldman Sachs (Asia) L.L.C., Goldman Sachs (Asia) Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 9 - Asset management. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2024-09-04 | present |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2024-09-04 | present |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 - Asset management | 2024-09-04 | present |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2014-08-01 | 2020-08-31 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2014-08-01 | 2020-08-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-05-30 | 2014-06-10 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-10-13 | 2014-06-10 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2010-10-13 | 2013-08-31 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2010-10-13 | 2013-08-31 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2007-03-21 | 2008-10-22 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2006-04-19 | 2008-10-22 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2006-04-19 | 2008-10-22 |