King Sau Lam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for King Sau Lam (林勁秀), a licensed Representative with CE reference BAI839. Currently licensed at 1 firm(s): SMBC Nikko Securities (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 11.9 years of SFC licence history. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2023-11-01 | 2026-03-18 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2023-11-01 | 2026-03-18 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2023-11-01 | 2026-03-18 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-08-10 | 2021-11-30 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2017-08-10 | 2021-11-30 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-08-10 | 2021-11-30 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2012-11-01 | 2017-05-05 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2012-11-01 | 2017-05-05 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-11-01 | 2017-05-05 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as King Sau 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.