Rui Guo
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rui Guo (郭睿), a licensed Responsible Officer with CE reference BDA213. Currently licensed at 1 firm(s): Shenwan Hongyuan Securities (H.K.) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 12.0 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2025-11-05 | present |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2025-11-05 | present |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2024-11-27 | 2025-11-05 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-04-14 | 2024-08-30 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2016-04-14 | 2024-08-30 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
Rep | Type 9 - Asset management | 2016-04-14 | 2024-08-30 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-07-15 | 2016-04-13 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-07-15 | 2016-04-13 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2014-03-10 | 2015-07-08 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Rui Guo 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.