James Kwok Tai Li
李國泰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Kwok Tai Li (李國泰), a licensed former licensee with CE reference AFS293. This person has 13.2 years of SFC licence history. Total licence records on file: 18.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shanggu Securities Limited 上古證券有限公司 |
RO | Type 1 - Dealing in securities | 2018-08-31 | 2023-04-16 |
| Shanggu Securities Limited 上古證券有限公司 |
RO | Type 6 - Advising on corporate finance | 2018-08-31 | 2023-04-16 |
| Shanggu Securities Limited 上古證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-06-22 | 2018-08-31 |
| Shanggu Securities Limited 上古證券有限公司 |
Rep | Type 4 - Advising on securities | 2018-06-22 | 2023-04-16 |
| Shanggu Securities Limited 上古證券有限公司 |
Rep | Type 6 - Advising on corporate finance | 2018-06-22 | 2018-08-31 |
| Silver Nile Global Investments Limited 銀豐環球投資有限公司 |
RO | Type 1 - Dealing in securities | 2017-09-19 | 2018-06-01 |
| HeungKong Capital Limited 香江資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2017-09-19 | 2018-06-01 |
| Silver Nile Global Investments Limited 銀豐環球投資有限公司 |
Rep | Type 1 - Dealing in securities | 2017-07-28 | 2017-09-19 |
| Silver Nile Global Investments Limited 銀豐環球投資有限公司 |
Rep | Type 4 - Advising on securities | 2017-07-28 | 2018-06-01 |
| HeungKong Capital Limited 香江資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-07-28 | 2017-09-19 |
| China Vered Securities Limited 中薇證券有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-05-11 | 2017-07-19 |
| China Vered Securities Limited 中薇證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-03-09 | 2017-07-19 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 6 - Advising on corporate finance | 2014-06-09 | 2017-01-17 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 - Dealing in securities | 2012-07-03 | 2017-01-17 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-07-03 | 2014-06-09 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-08-13 | 2012-06-30 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-08-13 | 2012-06-30 |
| BNP Paribas Capital (Asia Pacific) Limited 法國巴黎資本(亞太)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2006-07-21 | 2007-04-27 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as James Kwok Tai Li 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.