Charles Warren Lehner Jr
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Warren Lehner Jr ( ), a licensed former licensee with CE reference AWI800. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-02-10 | 2012-04-21 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2011-11-22 | 2012-04-21 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 4 — Advising on securities | 2011-11-22 | 2012-04-21 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-08-12 | 2011-11-22 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2011-08-12 | 2011-11-22 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-19 | 2011-06-24 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-11-19 | 2011-06-24 |