Grady V Li
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Grady V Li, a licensed former licensee with CE reference AWM157. This person has 1.8 years of SFC licence history. Total licence records on file: 6.
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-12-17 | 2012-09-29 |
| Provident Futures (Hong Kong) Limited 寶山期貨（香港）有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-12-17 | 2012-09-29 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-12-17 | 2012-09-29 |
| Provident Futures (Hong Kong) Limited 寶山期貨（香港）有限公司 |
Rep | Type 5 - Advising on futures contracts | 2010-12-17 | 2012-09-29 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-12-17 | 2012-09-29 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 9 - Asset management | 2010-12-17 | 2012-09-29 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Grady V 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.