Li He
何犁
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Li He (何犁), a licensed Representative with CE reference BAA178. Currently licensed at 1 firm(s): Barclays Capital Asia Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 8.4 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2025-01-17 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2025-01-17 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2017-11-28 | 2019-09-27 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-11-28 | 2019-09-27 |
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2016-12-19 | 2017-10-04 |
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2015-03-20 | 2016-12-18 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-08-07 | 2015-01-31 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2012-08-07 | 2015-01-31 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-08-07 | 2015-01-31 |