Shuonan Li
李碩楠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shuonan Li (李碩楠), a licensed former licensee with CE reference BER348. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Roofer Securities Limited 路華證券有限公司 |
Rep | Type 1 — Dealing in securities | 2024-01-03 | 2025-02-07 |
| Roofer Securities Limited 路華證券有限公司 |
Rep | Type 4 — Advising on securities | 2024-01-03 | 2025-02-07 |
| Roofer Asset Management Limited 路華資產管理有限公司 |
Rep | Type 9 — Asset management | 2024-01-03 | 2025-02-07 |
| Victory Securities Company Limited 勝利證券有限公司 |
Rep | Type 1 — Dealing in securities | 2022-06-22 | 2022-08-05 |
| Yue Xiu Securities Company Limited 越秀証券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-05-12 | 2022-01-19 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2019-05-16 | 2019-12-06 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2019-05-16 | 2019-12-06 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-11-12 | 2019-04-15 |
| CMBC International Capital Limited 民銀資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-06-01 | 2019-04-15 |
| CMBC International Capital Limited 民銀資本有限公司 |
Rep | Type 1 — Dealing in securities | 2018-05-10 | 2018-09-26 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-12-22 | 2018-04-15 |