Lici Leon Edward Wu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lici Leon Edward Wu (伍禮慈), a licensed Responsible Officer with CE reference AJD966. Currently licensed at 1 firm(s): C.M. Capital Advisors (HK) Limited. Active regulated activities: Type 4 - Advising on securities; Type 9 - Asset management. This person has 15.3 years of SFC licence history. Total licence records on file: 16.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| C.M. Capital Advisors (HK) Limited |
RO | Type 4 - Advising on securities | 2017-12-29 | present |
| C.M. Capital Advisors (HK) Limited |
RO | Type 9 - Asset management | 2017-12-29 | present |
| C.M. Capital Advisors (HK) Limited |
Rep | Type 4 - Advising on securities | 2017-09-26 | 2017-12-29 |
| C.M. Capital Advisors (HK) Limited |
Rep | Type 9 - Asset management | 2017-09-26 | 2017-12-29 |
| All View Management Limited 景豐管理有限公司 |
RO | Type 4 - Advising on securities | 2016-03-24 | 2017-09-22 |
| All View Management Limited 景豐管理有限公司 |
RO | Type 9 - Asset management | 2016-03-24 | 2017-09-22 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-05-31 | 2015-03-07 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-05-31 | 2015-03-07 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2011-01-27 | 2013-04-22 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 9 - Asset management | 2011-01-27 | 2013-04-22 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2004-10-04 | 2005-01-21 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 5 - Advising on futures contracts | 2004-10-04 | 2005-01-21 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 9 - Asset management | 2004-10-04 | 2005-01-21 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2004-08-11 | 2004-12-17 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 - Dealing in securities | 2003-11-06 | 2004-06-25 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2003-11-06 | 2004-06-25 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Lici Leon Edward Wu 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.