Sophia Shuk Woon Lee
李淑媛
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sophia Shuk Woon Lee (李淑媛), a licensed former licensee with CE reference AHD383. This person has 18.0 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Elixir Capital Management Limited 創富資產有限公司 |
RO | Type 9 - Asset management | 2009-02-18 | 2023-07-31 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2006-04-10 | 2006-11-04 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-03-21 | 2006-11-04 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2004-12-29 | 2006-03-02 |
| CASH Research Limited 時富證券研究有限公司 |
Rep | Type 4 - Advising on securities | 2004-12-15 | 2005-03-31 |
| Oriental Patron Securities Limited 東英亞洲證券有限公司 |
Rep | Type 4 - Advising on securities | 2004-05-07 | 2004-12-03 |
| Oriental Patron Asia Limited 東英亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-05-06 |
| Oriental Patron Asia Limited 東英亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-05-05 |
| Oriental Patron Asia Limited 東英亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-05-05 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Sophia Shuk Woon Lee 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.