Xiaowei Lu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaowei Lu, a licensed former licensee with CE reference AVL539. This person has 1.5 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2010-07-26 | 2012-01-12 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2010-07-26 | 2012-01-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2010-07-26 | 2012-01-12 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2010-07-26 | 2012-01-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2010-07-26 | 2012-01-12 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2010-07-26 | 2012-01-12 |