Xu Han
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xu Han (韓旭), a licensed Responsible Officer with CE reference AOE724. Currently licensed at 1 firm(s): Shanggu Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 10.6 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shanggu Securities Limited 上古證券有限公司 |
RO | Type 1 - Dealing in securities | 2021-04-09 | present |
| Shanggu Securities Limited 上古證券有限公司 |
RO | Type 4 - Advising on securities | 2021-04-09 | present |
| Shanggu Securities Limited 上古證券有限公司 |
RO | Type 6 - Advising on corporate finance | 2021-04-09 | present |
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2016-12-19 | 2017-10-11 |
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2012-06-07 | 2016-12-18 |
Worked alongside
The 6 closest colleagues, strongest tie first — individuals licensed at the same firm as Xu Han 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.
| Name | Shared firm | Overlap |
|---|---|---|
| Chi Yu Alissa Man | Shanggu Securities Limited | 2021–present |
| Wiley O' Yang | Shanggu Securities Limited | 2021–present |
| Wai Nam Leung | Shanggu Securities Limited | 2021–2024 |
| James Kwok Tai Li | Shanggu Securities Limited | 2021–2023 |
| Shu Cheung Yau | Shanggu Securities Limited | 2024–present |
| Dickson Cheng | Shanggu Securities Limited | 2021 |