Joanna Ka Loy Si
徐嘉來
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joanna Ka Loy Si (徐嘉來), a licensed Representative with CE reference AAK578. Currently licensed at 1 firm(s): Prudential Brokerage Limited. Active regulated activities: Type 1 - Dealing in securities. This person has 23.1 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 1 - Dealing in securities | 2020-03-27 | present |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-10-03 | 2020-03-16 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2009-04-03 | 2013-09-29 |
| Nerico Brothers Limited | Rep | Type 1 - Dealing in securities | 2007-10-16 | 2009-03-19 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2006-06-13 | 2007-10-04 |
| Delta Asia Securities Limited 滙業證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2006-05-12 |
| Delta Asia Securities Limited 滙業證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-05-11 |
| Delta Asia Securities Limited 滙業證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-05-11 |
| Delta Asia Securities Limited 滙業證券有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-11-07 |
| Delta Asia Securities Limited 滙業證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-05-11 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Joanna Ka Loy Si 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.