Xiao Chen
陳曉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiao Chen (陳曉), a licensed Responsible Officer with CE reference AVA602. Currently licensed at 1 firm(s): WinExcel Asset Management Limited. Active regulated activities: Type 4 - Advising on securities; Type 9 - Asset management. This person has 13.0 years of SFC licence history. Total licence records on file: 34.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| WinExcel Asset Management Limited 盈卓資產管理有限公司 |
RO | Type 4 - Advising on securities | 2026-04-24 | present |
| WinExcel Asset Management Limited 盈卓資產管理有限公司 |
RO | Type 9 - Asset management | 2026-04-24 | present |
| Yee Tai Asset Management Limited | RO | Type 4 - Advising on securities | 2026-02-23 | 2026-04-16 |
| Yee Tai Asset Management Limited | RO | Type 9 - Asset management | 2026-02-23 | 2026-04-16 |
| Webot Securities Limited |
RO | Type 1 - Dealing in securities | 2024-02-20 | 2025-12-15 |
| Zheng He Capital Management Limited 鄭和資本管理有限公司 |
RO | Type 4 - Advising on securities | 2021-08-10 | 2024-01-26 |
| Zheng He Capital Management Limited 鄭和資本管理有限公司 |
RO | Type 9 - Asset management | 2021-08-10 | 2024-01-26 |
| Zheng He Capital Management Limited 鄭和資本管理有限公司 |
Rep | Type 4 - Advising on securities | 2021-08-04 | 2021-08-10 |
| Zheng He Capital Management Limited 鄭和資本管理有限公司 |
Rep | Type 9 - Asset management | 2021-08-04 | 2021-08-10 |
| Hao Tian International Futures Limited 昊天國際期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2020-03-19 | 2020-12-18 |
| Hao Tian International Securities Limited 昊天國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2019-12-06 | 2021-07-21 |
| Hao Tian Asset Management Limited 昊天資產管理有限公司 |
RO | Type 4 - Advising on securities | 2019-12-06 | 2021-07-21 |
| Hao Tian Asset Management Limited 昊天資產管理有限公司 |
RO | Type 9 - Asset management | 2019-12-06 | 2021-07-21 |
| Hao Tian International Securities Limited 昊天國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2019-11-11 | 2019-12-06 |
| China Vered Securities Limited 中薇證券有限公司 |
RO | Type 1 - Dealing in securities | 2019-04-15 | 2019-06-07 |
| China Vered Asset Management (Hong Kong) Limited 中薇資產管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2019-04-15 | 2019-06-07 |
| China Vered Securities Limited 中薇證券有限公司 |
RO | Type 4 - Advising on securities | 2019-04-15 | 2019-06-07 |
| China Vered Asset Management (Hong Kong) Limited 中薇資產管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2019-04-09 | 2019-04-09 |
| China Vered Securities Limited 中薇證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-11-26 | 2019-04-15 |
| China Vered Securities Limited 中薇證券有限公司 |
Rep | Type 4 - Advising on securities | 2018-11-26 | 2019-04-15 |
| Dongxing Securities (Hong Kong) Company Limited 東興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-09-13 | 2016-12-31 |
| Dongxing Securities (Hong Kong) Company Limited 東興證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2016-09-13 | 2016-12-31 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-12-08 | 2016-06-17 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 4 - Advising on securities | 2015-12-08 | 2016-06-17 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-12-08 | 2016-06-17 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 4 - Advising on securities | 2013-09-19 | 2015-11-03 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2013-05-29 | 2015-11-03 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2013-01-07 | 2013-05-13 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 1 - Dealing in securities | 2012-09-10 | 2013-03-10 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 - Dealing in securities | 2011-06-21 | 2012-09-10 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-06-21 | 2013-01-07 |
| StormHarbour Securities (Hong Kong) Limited 思博資本(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-04-16 | 2011-04-15 |
| StormHarbour Securities (Hong Kong) Limited 思博資本(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-04-16 | 2011-04-15 |
| StormHarbour Securities (Hong Kong) Limited 思博資本(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-04-16 | 2011-04-15 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Xiao Chen 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.