Steven Shiming Lu
陸世銘
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steven Shiming Lu (陸世銘), a licensed Representative with CE reference AOJ443. Currently licensed at 1 firm(s): GF Securities (Hong Kong) Brokerage Limited. Active regulated activities: Type 1 - Dealing in securities. This person has 17.0 years of SFC licence history. Total licence records on file: 17.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2024-05-14 | present |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-10-11 | 2023-03-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2019-10-11 | 2023-03-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2019-10-11 | 2023-03-10 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2019-10-11 | 2023-03-10 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 1 - Dealing in securities | 2013-11-01 | 2018-11-30 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-11-01 | 2014-12-31 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 4 - Advising on securities | 2013-11-01 | 2018-11-30 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2013-11-01 | 2014-12-31 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 6 - Advising on corporate finance | 2013-11-01 | 2018-11-30 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 9 - Asset management | 2013-11-01 | 2015-08-31 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 9 - Asset management | 2013-11-01 | 2014-12-31 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 4 - Advising on securities | 2012-08-15 | 2013-07-31 |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-02-13 | 2013-07-31 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 - Dealing in securities | 2008-08-19 | 2013-07-31 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-01-04 | 2008-05-05 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-01-04 | 2008-05-05 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Steven Shiming Lu 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.