Xiaoming Liu
劉小明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiaoming Liu (劉小明), a licensed former licensee with CE reference AYM804. This person has 5.4 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Industrial Securities International Brokerage Limited 興證國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2016-02-24 | 2017-09-19 |
| Yue Xiu Securities Company Limited 越秀証券有限公司 |
Rep | Type 4 - Advising on securities | 2014-09-23 | 2015-11-20 |
| Yue Xiu Securities Company Limited 越秀証券有限公司 |
Rep | Type 5 - Advising on futures contracts | 2014-09-23 | 2015-11-20 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-02-07 | 2014-08-18 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2011-12-12 | 2014-08-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Xiaoming Liu 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.