SFC Licences of LEHNER JR Charles Warren
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 | RO | 1 | 10 February 2012 | 21 April 2012 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RO | 4 | 22 November 2011 | 21 April 2012 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RO | 1 | 22 November 2011 | 21 April 2012 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 4 | 12 August 2011 | 22 November 2011 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 12 August 2011 | 22 November 2011 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 | RE | 1 | 19 November 2010 | 24 June 2011 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 | RE | 4 | 19 November 2010 | 24 June 2011 |