Alex Pin-der Wu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alex Pin-der Wu (吳品德), a licensed Responsible Officer with CE reference ANM976. Currently licensed at 1 firm(s): Cortina Capital Asset Management Limited. Active regulated activities: Type 4 - Advising on securities; Type 9 - Asset management. This person has 10.9 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Cortina Capital Asset Management Limited |
RO | Type 4 - Advising on securities | 2021-10-15 | present |
| Cortina Capital Asset Management Limited |
RO | Type 9 - Asset management | 2021-10-15 | present |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2017-04-25 | 2019-07-15 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
RO | Type 4 - Advising on securities | 2017-04-25 | 2019-07-15 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
RO | Type 9 - Asset management | 2017-04-25 | 2019-07-15 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2014-04-30 | 2017-04-25 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2014-04-30 | 2017-04-25 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
Rep | Type 9 - Asset management | 2014-04-30 | 2017-04-25 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2006-06-16 | 2007-06-20 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2006-06-16 | 2007-06-20 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2006-06-16 | 2007-06-20 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Alex Pin-der 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.