SFC Licences of LEE Tai Tong 李棣棠

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Prior Securities Limited 昇悅證券有限公司 RO 1 21 November 2016 22 June 2022
Prior Securities Limited 昇悅證券有限公司 RE 1 28 September 2016 21 November 2016
SoFi Securities (Hong Kong) Limited RO 1 29 December 2015 26 August 2016
SoFi Securities (Hong Kong) Limited RE 4 23 December 2015 26 August 2016
SoFi Securities (Hong Kong) Limited RE 1 09 February 2015 29 December 2015
Ewarton Securities Limited 穎翔證券有限公司 RE 1 09 February 2011 30 January 2015
First Shanghai Securities Limited 第一上海證券有限公司 RE 1 01 April 2003 06 February 2011
First Shanghai Futures Limited 第一上海期貨有限公司 RE 2 01 April 2003 06 February 2011
First Shanghai Securities Limited 第一上海證券有限公司 RE 4 01 April 2003 10 August 2004
First Shanghai Futures Limited 第一上海期貨有限公司 RE 5 01 April 2003 10 August 2004
First Shanghai Securities Limited 第一上海證券有限公司 RE 6 01 April 2003 10 August 2004
First Shanghai Futures Limited 第一上海期貨有限公司 RE 9 01 April 2003 10 August 2004
First Shanghai Securities Limited 第一上海證券有限公司 RE 9 01 April 2003 10 August 2004
First Shanghai Futures Limited 第一上海期貨有限公司 RE 7 01 April 2003 05 September 2003
First Shanghai Securities Limited 第一上海證券有限公司 RE 7 01 April 2003 02 September 2003