SFC Licences of ZHAO Xiao Le 趙曉樂
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Quam Securities Limited 華富建業證券有限公司 | RE | 1 | 03 September 2018 | 31 July 2020 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RE | 1 | 27 September 2011 | 20 October 2011 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 | RE | 1 | 25 May 2009 | 15 July 2010 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 1 | 15 September 2005 | 01 October 2005 |
| UBS Securities Asia Limited | RE | 1 | 02 July 2004 | 28 October 2004 |