Zhan Xu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Zhan Xu (徐湛), a licensed Responsible Officer with CE reference AQQ125. Currently licensed at 1 firm(s): Huatai Financial Holdings (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 15.9 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2016-11-22 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2016-11-22 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2016-11-22 | present |
| ICBC International Capital Limited 工銀國際融資有限公司 |
RO | Type 1 - Dealing in securities | 2014-12-05 | 2016-08-22 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2014-12-05 | 2016-08-22 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 1 - Dealing in securities | 2013-01-16 | 2014-12-05 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2013-01-16 | 2014-12-05 |
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2012-06-07 | 2012-10-25 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-03-10 | 2010-05-10 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-03-10 | 2010-05-10 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Zhan Xu 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.