CLSA LIMITED 中信里昂證券有限公司
This page shows the historic number of SFC licensees for a firm. Licensees are either Responsible Officers (ROs) or Representatives (Reps). When Activity is set to "All", we treat a person who holds both roles (in different activities) as an RO. The Reps v total is a measure of how bottom-heavy a firm is, because the ROs are supposed to supervise the Reps. For other firms, click here. For the total in all firms, click here. Note that due to a transitional period which ended on 31-Mar-2005, many licenses in some activities were surrendered or not extended beyond that date.
Date | ROs | Reps | Total | Reps v total |
---|---|---|---|---|
2024-06-16 | 40 | 922 | 962 | 95.84% |
2024-05-31 | 41 | 912 | 953 | 95.70% |
2024-04-30 | 42 | 911 | 953 | 95.59% |
2024-03-31 | 42 | 904 | 946 | 95.56% |
2024-02-29 | 43 | 871 | 914 | 95.30% |
2024-01-31 | 41 | 844 | 885 | 95.37% |
2023-12-31 | 40 | 832 | 872 | 95.41% |
2023-11-30 | 40 | 807 | 847 | 95.28% |
2023-10-31 | 38 | 797 | 835 | 95.45% |
2023-09-30 | 38 | 793 | 831 | 95.43% |
2023-08-31 | 37 | 742 | 779 | 95.25% |
2023-07-31 | 37 | 725 | 762 | 95.14% |
2023-06-30 | 38 | 724 | 762 | 95.01% |
2023-05-31 | 38 | 701 | 739 | 94.86% |
2023-04-30 | 38 | 677 | 715 | 94.69% |
2023-03-31 | 39 | 655 | 694 | 94.38% |
2023-02-28 | 39 | 639 | 678 | 94.25% |
2023-01-31 | 38 | 639 | 677 | 94.39% |
2022-12-31 | 38 | 625 | 663 | 94.27% |
2022-11-30 | 40 | 598 | 638 | 93.73% |
2022-10-31 | 37 | 587 | 624 | 94.07% |
2022-09-30 | 34 | 581 | 615 | 94.47% |
2022-08-31 | 32 | 578 | 610 | 94.75% |
2022-07-31 | 32 | 570 | 602 | 94.68% |
2022-06-30 | 31 | 565 | 596 | 94.80% |
2022-05-31 | 31 | 538 | 569 | 94.55% |
2022-04-30 | 32 | 513 | 545 | 94.13% |
2022-03-31 | 32 | 501 | 533 | 94.00% |
2022-02-28 | 32 | 499 | 531 | 93.97% |
2022-01-31 | 31 | 494 | 525 | 94.10% |
2021-12-31 | 29 | 476 | 505 | 94.26% |
2021-11-30 | 29 | 447 | 476 | 93.91% |
2021-10-31 | 28 | 436 | 464 | 93.97% |
2021-09-30 | 26 | 420 | 446 | 94.17% |
2021-08-31 | 24 | 401 | 425 | 94.35% |
2021-07-31 | 21 | 392 | 413 | 94.92% |
2021-06-30 | 22 | 388 | 410 | 94.63% |
2021-05-31 | 21 | 369 | 390 | 94.62% |
2021-04-30 | 20 | 363 | 383 | 94.78% |
2021-03-31 | 22 | 347 | 369 | 94.04% |
2021-02-28 | 21 | 321 | 342 | 93.86% |
2021-01-31 | 21 | 315 | 336 | 93.75% |
2020-12-31 | 21 | 306 | 327 | 93.58% |
2020-11-30 | 21 | 298 | 319 | 93.42% |
2020-10-31 | 22 | 292 | 314 | 92.99% |
2020-09-30 | 22 | 289 | 311 | 92.93% |
2020-08-31 | 22 | 286 | 308 | 92.86% |
2020-07-31 | 22 | 297 | 319 | 93.10% |
2020-06-30 | 23 | 294 | 317 | 92.74% |
2020-05-31 | 23 | 295 | 318 | 92.77% |
2020-04-30 | 24 | 302 | 326 | 92.64% |
2020-03-31 | 25 | 307 | 332 | 92.47% |
2020-02-29 | 27 | 302 | 329 | 91.79% |
2020-01-31 | 27 | 306 | 333 | 91.89% |
2019-12-31 | 24 | 310 | 334 | 92.81% |
2019-11-30 | 23 | 325 | 348 | 93.39% |
2019-10-31 | 24 | 328 | 352 | 93.18% |
2019-09-30 | 22 | 329 | 351 | 93.73% |
2019-08-31 | 21 | 324 | 345 | 93.91% |
2019-07-31 | 20 | 320 | 340 | 94.12% |
2019-06-30 | 22 | 309 | 331 | 93.35% |
2019-05-31 | 22 | 320 | 342 | 93.57% |
2019-04-30 | 25 | 329 | 354 | 92.94% |
2019-03-31 | 29 | 329 | 358 | 91.90% |
2019-02-28 | 30 | 322 | 352 | 91.48% |
2019-01-31 | 30 | 314 | 344 | 91.28% |
2018-12-31 | 31 | 316 | 347 | 91.07% |
2018-11-30 | 31 | 316 | 347 | 91.07% |
2018-10-31 | 31 | 315 | 346 | 91.04% |
2018-09-30 | 28 | 315 | 343 | 91.84% |
2018-08-31 | 27 | 312 | 339 | 92.04% |
2018-07-31 | 27 | 312 | 339 | 92.04% |
2018-06-30 | 26 | 311 | 337 | 92.28% |
2018-05-31 | 26 | 305 | 331 | 92.15% |
2018-04-30 | 26 | 300 | 326 | 92.02% |
2018-03-31 | 26 | 303 | 329 | 92.10% |
2018-02-28 | 26 | 289 | 315 | 91.75% |
2018-01-31 | 23 | 283 | 306 | 92.48% |
2017-12-31 | 21 | 282 | 303 | 93.07% |
2017-11-30 | 21 | 278 | 299 | 92.98% |
2017-10-31 | 19 | 279 | 298 | 93.62% |
2017-09-30 | 19 | 262 | 281 | 93.24% |
2017-08-31 | 18 | 258 | 276 | 93.48% |
2017-07-31 | 19 | 255 | 274 | 93.07% |
2017-06-30 | 21 | 255 | 276 | 92.39% |
2017-05-31 | 21 | 254 | 275 | 92.36% |
2017-04-30 | 21 | 258 | 279 | 92.47% |
2017-03-31 | 21 | 266 | 287 | 92.68% |
2017-02-28 | 21 | 263 | 284 | 92.61% |
2017-01-31 | 21 | 263 | 284 | 92.61% |
2016-12-31 | 22 | 264 | 286 | 92.31% |
2016-11-30 | 22 | 267 | 289 | 92.39% |
2016-10-31 | 22 | 265 | 287 | 92.33% |
2016-09-30 | 22 | 270 | 292 | 92.47% |
2016-08-31 | 22 | 275 | 297 | 92.59% |
2016-07-31 | 20 | 277 | 297 | 93.27% |
2016-06-30 | 20 | 277 | 297 | 93.27% |
2016-05-31 | 20 | 272 | 292 | 93.15% |
2016-04-30 | 20 | 272 | 292 | 93.15% |
2016-03-31 | 20 | 274 | 294 | 93.20% |
2016-02-29 | 20 | 272 | 292 | 93.15% |
2016-01-31 | 20 | 276 | 296 | 93.24% |
2015-12-31 | 20 | 279 | 299 | 93.31% |
2015-11-30 | 19 | 278 | 297 | 93.60% |
2015-10-31 | 20 | 278 | 298 | 93.29% |
2015-09-30 | 20 | 281 | 301 | 93.36% |
2015-08-31 | 19 | 274 | 293 | 93.52% |
2015-07-31 | 17 | 276 | 293 | 94.20% |
2015-06-30 | 17 | 276 | 293 | 94.20% |
2015-05-31 | 17 | 300 | 317 | 94.64% |
2015-04-30 | 17 | 304 | 321 | 94.70% |
2015-03-31 | 14 | 274 | 288 | 95.14% |
2015-02-28 | 15 | 273 | 288 | 94.79% |
2015-01-31 | 15 | 274 | 289 | 94.81% |
2014-12-31 | 15 | 270 | 285 | 94.74% |
2014-11-30 | 14 | 272 | 286 | 95.10% |
2014-10-31 | 14 | 271 | 285 | 95.09% |
2014-09-30 | 12 | 274 | 286 | 95.80% |
2014-08-31 | 11 | 266 | 277 | 96.03% |
2014-07-31 | 9 | 262 | 271 | 96.68% |
2014-06-30 | 7 | 266 | 273 | 97.44% |
2014-05-31 | 6 | 268 | 274 | 97.81% |
2014-04-30 | 4 | 269 | 273 | 98.53% |
2014-03-31 | 4 | 272 | 276 | 98.55% |
2014-02-28 | 4 | 273 | 277 | 98.56% |
2014-01-31 | 4 | 265 | 269 | 98.51% |
2013-12-31 | 4 | 267 | 271 | 98.52% |
2013-11-30 | 5 | 266 | 271 | 98.15% |
2013-10-31 | 5 | 264 | 269 | 98.14% |
2013-09-30 | 5 | 270 | 275 | 98.18% |
2013-08-31 | 5 | 263 | 268 | 98.13% |
2013-07-31 | 5 | 266 | 271 | 98.15% |
2013-06-30 | 5 | 269 | 274 | 98.18% |
2013-05-31 | 5 | 273 | 278 | 98.20% |
2013-04-30 | 5 | 272 | 277 | 98.19% |
2013-03-31 | 5 | 274 | 279 | 98.21% |
2013-02-28 | 5 | 273 | 278 | 98.20% |
2013-01-31 | 5 | 272 | 277 | 98.19% |
2012-12-31 | 5 | 275 | 280 | 98.21% |
2012-11-30 | 5 | 202 | 207 | 97.58% |
2012-10-31 | 5 | 199 | 204 | 97.55% |
2012-09-30 | 5 | 199 | 204 | 97.55% |
2012-08-31 | 5 | 198 | 203 | 97.54% |
2012-07-31 | 5 | 191 | 196 | 97.45% |
2012-06-30 | 6 | 187 | 193 | 96.89% |
2012-05-31 | 6 | 201 | 207 | 97.10% |
2012-04-30 | 6 | 201 | 207 | 97.10% |
2012-03-31 | 6 | 202 | 208 | 97.12% |
2012-02-29 | 6 | 203 | 209 | 97.13% |
2012-01-31 | 7 | 207 | 214 | 96.73% |
2011-12-31 | 7 | 232 | 239 | 97.07% |
2011-11-30 | 8 | 231 | 239 | 96.65% |
2011-10-31 | 7 | 231 | 238 | 97.06% |
2011-09-30 | 7 | 227 | 234 | 97.01% |
2011-08-31 | 7 | 216 | 223 | 96.86% |
2011-07-31 | 7 | 212 | 219 | 96.80% |
2011-06-30 | 7 | 213 | 220 | 96.82% |
2011-05-31 | 7 | 218 | 225 | 96.89% |
2011-04-30 | 7 | 218 | 225 | 96.89% |
2011-03-31 | 7 | 217 | 224 | 96.88% |
2011-02-28 | 7 | 215 | 222 | 96.85% |
2011-01-31 | 7 | 214 | 221 | 96.83% |
2010-12-31 | 7 | 213 | 220 | 96.82% |
2010-11-30 | 7 | 214 | 221 | 96.83% |
2010-10-31 | 7 | 215 | 222 | 96.85% |
2010-09-30 | 7 | 212 | 219 | 96.80% |
2010-08-31 | 7 | 192 | 199 | 96.48% |
2010-07-31 | 7 | 188 | 195 | 96.41% |
2010-06-30 | 7 | 183 | 190 | 96.32% |
2010-05-31 | 7 | 179 | 186 | 96.24% |
2010-04-30 | 7 | 177 | 184 | 96.20% |
2010-03-31 | 7 | 167 | 174 | 95.98% |
2010-02-28 | 7 | 161 | 168 | 95.83% |
2010-01-31 | 7 | 160 | 167 | 95.81% |
2009-12-31 | 7 | 163 | 170 | 95.88% |
2009-11-30 | 7 | 163 | 170 | 95.88% |
2009-10-31 | 7 | 167 | 174 | 95.98% |
2009-09-30 | 7 | 164 | 171 | 95.91% |
2009-08-31 | 7 | 156 | 163 | 95.71% |
2009-07-31 | 6 | 157 | 163 | 96.32% |
2009-06-30 | 6 | 154 | 160 | 96.25% |
2009-05-31 | 7 | 152 | 159 | 95.60% |
2009-04-30 | 7 | 149 | 156 | 95.51% |
2009-03-31 | 7 | 148 | 155 | 95.48% |
2009-02-28 | 7 | 157 | 164 | 95.73% |
2009-01-31 | 7 | 157 | 164 | 95.73% |
2008-12-31 | 7 | 154 | 161 | 95.65% |
2008-11-30 | 7 | 156 | 163 | 95.71% |
2008-10-31 | 7 | 178 | 185 | 96.22% |
2008-09-30 | 7 | 178 | 185 | 96.22% |
2008-08-31 | 7 | 148 | 155 | 95.48% |
2008-07-31 | 7 | 150 | 157 | 95.54% |
2008-06-30 | 7 | 152 | 159 | 95.60% |
2008-05-31 | 7 | 151 | 158 | 95.57% |
2008-04-30 | 7 | 154 | 161 | 95.65% |
2008-03-31 | 7 | 152 | 159 | 95.60% |
2008-02-29 | 7 | 146 | 153 | 95.42% |
2008-01-31 | 7 | 126 | 133 | 94.74% |
2007-12-31 | 7 | 123 | 130 | 94.62% |
2007-11-30 | 7 | 120 | 127 | 94.49% |
2007-10-31 | 7 | 118 | 125 | 94.40% |
2007-09-30 | 7 | 120 | 127 | 94.49% |
2007-08-31 | 7 | 114 | 121 | 94.21% |
2007-07-31 | 7 | 113 | 120 | 94.17% |
2007-06-30 | 7 | 109 | 116 | 93.97% |
2007-05-31 | 7 | 102 | 109 | 93.58% |
2007-04-30 | 7 | 100 | 107 | 93.46% |
2007-03-31 | 7 | 105 | 112 | 93.75% |
2007-02-28 | 6 | 106 | 112 | 94.64% |
2007-01-31 | 6 | 99 | 105 | 94.29% |
2006-12-31 | 6 | 97 | 103 | 94.17% |
2006-11-30 | 6 | 95 | 101 | 94.06% |
2006-10-31 | 6 | 98 | 104 | 94.23% |
2006-09-30 | 7 | 96 | 103 | 93.20% |
2006-08-31 | 7 | 96 | 103 | 93.20% |
2006-07-31 | 7 | 98 | 105 | 93.33% |
2006-06-30 | 7 | 91 | 98 | 92.86% |
2006-05-31 | 7 | 90 | 97 | 92.78% |
2006-04-30 | 7 | 87 | 94 | 92.55% |
2006-03-31 | 7 | 88 | 95 | 92.63% |
2006-02-28 | 7 | 83 | 90 | 92.22% |
2006-01-31 | 7 | 74 | 81 | 91.36% |
2005-12-31 | 7 | 73 | 80 | 91.25% |
2005-11-30 | 7 | 73 | 80 | 91.25% |
2005-10-31 | 7 | 71 | 78 | 91.03% |
2005-09-30 | 7 | 70 | 77 | 90.91% |
2005-08-31 | 7 | 71 | 78 | 91.03% |
2005-07-31 | 8 | 66 | 74 | 89.19% |
2005-06-30 | 8 | 65 | 73 | 89.04% |
2005-05-31 | 8 | 63 | 71 | 88.73% |
2005-04-30 | 8 | 55 | 63 | 87.30% |
2005-03-31 | 8 | 56 | 64 | 87.50% |
2005-02-28 | 8 | 56 | 64 | 87.50% |
2005-01-31 | 7 | 59 | 66 | 89.39% |
2004-12-31 | 7 | 62 | 69 | 89.86% |
2004-11-30 | 8 | 63 | 71 | 88.73% |
2004-10-31 | 8 | 64 | 72 | 88.89% |
2004-09-30 | 8 | 63 | 71 | 88.73% |
2004-08-31 | 8 | 60 | 68 | 88.24% |
2004-07-31 | 8 | 59 | 67 | 88.06% |
2004-06-30 | 8 | 57 | 65 | 87.69% |
2004-05-31 | 8 | 63 | 71 | 88.73% |
2004-04-30 | 7 | 66 | 73 | 90.41% |
2004-03-31 | 7 | 66 | 73 | 90.41% |
2004-02-29 | 7 | 69 | 76 | 90.79% |
2004-01-31 | 8 | 68 | 76 | 89.47% |
2003-12-31 | 8 | 69 | 77 | 89.61% |
2003-11-30 | 8 | 63 | 71 | 88.73% |
2003-10-31 | 8 | 65 | 73 | 89.04% |
2003-09-30 | 9 | 65 | 74 | 87.84% |
2003-08-31 | 9 | 60 | 69 | 86.96% |
2003-07-31 | 9 | 58 | 67 | 86.57% |
2003-06-30 | 7 | 60 | 67 | 89.55% |
2003-05-31 | 7 | 60 | 67 | 89.55% |
2003-04-30 | 7 | 61 | 68 | 89.71% |
2003-03-31 | 7 | 62 | 69 | 89.86% |
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