Chi Lam Lam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Lam Lam (林智霖), a licensed Responsible Officer with CE reference AYJ114. Currently licensed at 1 firm(s): Finex Hong Kong Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 13.6 years of SFC licence history. Total licence records on file: 25.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Finex Hong Kong Limited | RO | Type 1 - Dealing in securities | 2024-10-14 | present |
| Finex Hong Kong Limited | RO | Type 4 - Advising on securities | 2024-10-14 | present |
| Finex Hong Kong Limited | RO | Type 9 - Asset management | 2024-10-14 | present |
| Finex Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2024-09-12 | 2024-10-14 |
| Finex Hong Kong Limited | Rep | Type 4 - Advising on securities | 2024-09-12 | 2024-10-14 |
| Finex Hong Kong Limited | Rep | Type 9 - Asset management | 2024-09-12 | 2024-10-14 |
| KCG Securities Asia Limited 寶通證券亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2022-04-13 | 2024-08-05 |
| KCG Fund Management Limited 寶通基金管理有限公司 |
RO | Type 4 - Advising on securities | 2022-04-13 | 2024-08-05 |
| KCG Securities Asia Limited 寶通證券亞洲有限公司 |
RO | Type 4 - Advising on securities | 2022-04-13 | 2024-08-05 |
| KCG Fund Management Limited 寶通基金管理有限公司 |
RO | Type 9 - Asset management | 2022-04-13 | 2024-08-05 |
| KCG Securities Asia Limited 寶通證券亞洲有限公司 |
RO | Type 9 - Asset management | 2022-04-13 | 2024-08-05 |
| KCG Securities Asia Limited 寶通證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2022-02-15 | 2022-04-13 |
| KCG Fund Management Limited 寶通基金管理有限公司 |
Rep | Type 4 - Advising on securities | 2022-02-15 | 2022-04-13 |
| KCG Securities Asia Limited 寶通證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2022-02-15 | 2022-04-13 |
| Ninth Eternity Securities Asia Limited 九久證券亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2020-10-16 | 2021-12-16 |
| Ninth Eternity Securities Asia Limited 九久證券亞洲有限公司 |
RO | Type 4 - Advising on securities | 2020-10-16 | 2021-12-16 |
| Grand China Securities Limited 華業證券有限公司 |
RO | Type 1 - Dealing in securities | 2018-06-29 | 2020-05-29 |
| Wealthy Global Financial Asset Management Limited 環匯金融資產管理有限公司 |
Rep | Type 9 - Asset management | 2017-10-17 | 2018-04-30 |
| Wealthy Global Financial Asset Management Limited 環匯金融資產管理有限公司 |
RO | Type 4 - Advising on securities | 2017-10-17 | 2018-04-30 |
| Midland Wealth Management Limited 美聯資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2016-04-18 | 2017-09-19 |
| Midland Wealth Management Limited 美聯資產管理有限公司 |
RO | Type 4 - Advising on securities | 2016-04-18 | 2017-09-19 |
| Midland Wealth Management Limited 美聯資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2013-05-30 | 2016-04-18 |
| Midland Wealth Management Limited 美聯資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2013-05-30 | 2016-04-18 |
| Centaline Wealth Management Limited 中原資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2011-11-24 | 2013-03-16 |
| Centaline Wealth Management Limited 中原資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2011-11-24 | 2013-03-16 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Chi Lam Lam 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.