Ka Wai Shum
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Wai Shum (沈嘉煒), a licensed Representative with CE reference AXQ544. Currently licensed at 1 firm(s): China Industrial Securities International Brokerage Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 14.5 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Industrial Securities International Brokerage Limited 興證國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2025-12-15 | present |
| China Industrial Securities International Brokerage Limited 興證國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2025-12-15 | present |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2024-09-05 | 2025-11-21 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2024-09-05 | 2025-11-21 |
| PC Securities Limited 寶鉅證券有限公司 |
Rep | Type 1 - Dealing in securities | 2024-01-18 | 2024-08-09 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2022-10-14 | 2023-12-08 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2022-10-14 | 2023-12-08 |
| First Worldsec Securities Limited 第一金和昇證券有限公司 |
Rep | Type 4 - Advising on securities | 2018-09-11 | 2022-09-18 |
| First Worldsec Securities Limited 第一金和昇證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-03-13 | 2022-09-18 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-06-18 | 2018-01-31 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-06-18 | 2018-01-31 |
| Fulbright Securities Limited 富昌證券有限公司 |
Rep | Type 1 - Dealing in securities | 2011-07-21 | 2014-04-17 |
| Fulbright Futures Limited 富昌期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-07-21 | 2014-04-17 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ka Wai Shum 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.