Wai Sum Li
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Sum Li (李煒森), a licensed Responsible Officer with CE reference AVA618. Currently licensed at 2 firm(s): Carlyon Securities Limited, Carlyon Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 13.5 years of SFC licence history. Total licence records on file: 26.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Carlyon Securities Limited 格理昂證券有限公司 |
RO | Type 1 - Dealing in securities | 2024-02-28 | present |
| Carlyon Asset Management Limited 格理昂資產管理有限公司 |
RO | Type 4 - Advising on securities | 2024-02-28 | present |
| Carlyon Asset Management Limited 格理昂資產管理有限公司 |
RO | Type 9 - Asset management | 2024-02-28 | present |
| Carlyon Asset Management Limited 格理昂資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2024-02-23 | 2024-02-28 |
| Carlyon Asset Management Limited 格理昂資產管理有限公司 |
Rep | Type 9 - Asset management | 2024-02-23 | 2024-02-28 |
| Da Heng Qin (Hong Kong) Company Limited 大橫琴股份(香港)有限公司 |
RO | Type 4 - Advising on securities | 2022-08-18 | 2023-11-10 |
| Da Heng Qin (Hong Kong) Company Limited 大橫琴股份(香港)有限公司 |
RO | Type 9 - Asset management | 2022-08-18 | 2023-11-10 |
| Fantasia Asset Management Limited 花樣年資產管理有限公司 |
RO | Type 9 - Asset management | 2019-10-24 | 2022-03-31 |
| Wanexe Securities (HK) Limited 萬盛證券(香港)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2019-05-23 | 2019-07-03 |
| Blackhorn Wealth Management Limited 晉羚財富管理有限公司 |
RO | Type 4 - Advising on securities | 2018-12-03 | 2019-03-29 |
| Blackhorn Wealth Management Limited 晉羚財富管理有限公司 |
RO | Type 9 - Asset management | 2018-12-03 | 2019-03-29 |
| Fulbright Asset Management Limited 富昌資產管理有限公司 |
Rep | Type 9 - Asset management | 2015-12-28 | 2017-07-01 |
| Fulbright Securities Limited 富昌證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-09-07 | 2017-07-01 |
| Fulbright Futures Limited 富昌期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-09-07 | 2017-07-01 |
| Fulbright Securities Limited 富昌證券有限公司 |
Rep | Type 4 - Advising on securities | 2015-09-07 | 2017-07-01 |
| Ping An Securities (Hong Kong) Holdings Company Limited 平安證券(香港)控股有限公司 |
Rep | Type 1 - Dealing in securities | 2014-01-20 | 2015-08-28 |
| Ping An Securities (Hong Kong) Futures Company Limited 平安證券（香港）期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-01-20 | 2015-08-28 |
| Ping An Securities (Hong Kong) Holdings Company Limited 平安證券(香港)控股有限公司 |
Rep | Type 4 - Advising on securities | 2014-01-20 | 2015-08-28 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-06-21 | 2013-12-19 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-06-21 | 2013-12-19 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2012-06-21 | 2013-12-19 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-09-30 | 2013-08-01 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-12-22 | 2013-08-01 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-12-22 | 2013-08-01 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2010-04-20 | 2010-11-05 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 - Advising on securities | 2010-04-20 | 2010-11-05 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Wai Sum Li 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.