Guggenheim Securities (Hong Kong) Limited
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 |
|---|---|---|---|---|
| 2024-11-17 | 0 | 0 | 0 | 0.00% |
| 2024-10-31 | 0 | 0 | 0 | 0.00% |
| 2024-09-30 | 0 | 0 | 0 | 0.00% |
| 2024-08-31 | 0 | 0 | 0 | 0.00% |
| 2024-07-31 | 0 | 0 | 0 | 0.00% |
| 2024-06-30 | 0 | 0 | 0 | 0.00% |
| 2024-05-31 | 0 | 0 | 0 | 0.00% |
| 2024-04-30 | 0 | 0 | 0 | 0.00% |
| 2024-03-31 | 0 | 0 | 0 | 0.00% |
| 2024-02-29 | 0 | 0 | 0 | 0.00% |
| 2024-01-31 | 0 | 0 | 0 | 0.00% |
| 2023-12-31 | 0 | 0 | 0 | 0.00% |
| 2023-11-30 | 0 | 0 | 0 | 0.00% |
| 2023-10-31 | 0 | 0 | 0 | 0.00% |
| 2023-09-30 | 0 | 0 | 0 | 0.00% |
| 2023-08-31 | 0 | 0 | 0 | 0.00% |
| 2023-07-31 | 0 | 0 | 0 | 0.00% |
| 2023-06-30 | 0 | 0 | 0 | 0.00% |
| 2023-05-31 | 0 | 0 | 0 | 0.00% |
| 2023-04-30 | 0 | 0 | 0 | 0.00% |
| 2023-03-31 | 0 | 0 | 0 | 0.00% |
| 2023-02-28 | 0 | 0 | 0 | 0.00% |
| 2023-01-31 | 0 | 0 | 0 | 0.00% |
| 2022-12-31 | 0 | 0 | 0 | 0.00% |
| 2022-11-30 | 0 | 0 | 0 | 0.00% |
| 2022-10-31 | 0 | 0 | 0 | 0.00% |
| 2022-09-30 | 0 | 0 | 0 | 0.00% |
| 2022-08-31 | 0 | 0 | 0 | 0.00% |
| 2022-07-31 | 0 | 0 | 0 | 0.00% |
| 2022-06-30 | 0 | 0 | 0 | 0.00% |
| 2022-05-31 | 0 | 0 | 0 | 0.00% |
| 2022-04-30 | 0 | 0 | 0 | 0.00% |
| 2022-03-31 | 0 | 0 | 0 | 0.00% |
| 2022-02-28 | 0 | 0 | 0 | 0.00% |
| 2022-01-31 | 0 | 0 | 0 | 0.00% |
| 2021-12-31 | 0 | 0 | 0 | 0.00% |
| 2021-11-30 | 0 | 0 | 0 | 0.00% |
| 2021-10-31 | 0 | 0 | 0 | 0.00% |
| 2021-09-30 | 0 | 0 | 0 | 0.00% |
| 2021-08-31 | 0 | 0 | 0 | 0.00% |
| 2021-07-31 | 0 | 0 | 0 | 0.00% |
| 2021-06-30 | 0 | 0 | 0 | 0.00% |
| 2021-05-31 | 0 | 0 | 0 | 0.00% |
| 2021-04-30 | 0 | 0 | 0 | 0.00% |
| 2021-03-31 | 0 | 0 | 0 | 0.00% |
| 2021-02-28 | 0 | 0 | 0 | 0.00% |
| 2021-01-31 | 0 | 0 | 0 | 0.00% |
| 2020-12-31 | 0 | 0 | 0 | 0.00% |
| 2020-11-30 | 0 | 0 | 0 | 0.00% |
| 2020-10-31 | 0 | 0 | 0 | 0.00% |
| 2020-09-30 | 0 | 0 | 0 | 0.00% |
| 2020-08-31 | 0 | 0 | 0 | 0.00% |
| 2020-07-31 | 0 | 0 | 0 | 0.00% |
| 2020-06-30 | 0 | 0 | 0 | 0.00% |
| 2020-05-31 | 0 | 0 | 0 | 0.00% |
| 2020-04-30 | 0 | 0 | 0 | 0.00% |
| 2020-03-31 | 0 | 0 | 0 | 0.00% |
| 2020-02-29 | 0 | 0 | 0 | 0.00% |
| 2020-01-31 | 0 | 0 | 0 | 0.00% |
| 2019-12-31 | 0 | 0 | 0 | 0.00% |
| 2019-11-30 | 0 | 0 | 0 | 0.00% |
| 2019-10-31 | 0 | 0 | 0 | 0.00% |
| 2019-09-30 | 0 | 0 | 0 | 0.00% |
| 2019-08-31 | 0 | 0 | 0 | 0.00% |
| 2019-07-31 | 0 | 0 | 0 | 0.00% |
| 2019-06-30 | 0 | 0 | 0 | 0.00% |
| 2019-05-31 | 0 | 0 | 0 | 0.00% |
| 2019-04-30 | 0 | 0 | 0 | 0.00% |
| 2019-03-31 | 0 | 0 | 0 | 0.00% |
| 2019-02-28 | 0 | 0 | 0 | 0.00% |
| 2019-01-31 | 0 | 0 | 0 | 0.00% |
| 2018-12-31 | 0 | 0 | 0 | 0.00% |
| 2018-11-30 | 0 | 0 | 0 | 0.00% |
| 2018-10-31 | 0 | 0 | 0 | 0.00% |
| 2018-09-30 | 0 | 0 | 0 | 0.00% |
| 2018-08-31 | 0 | 0 | 0 | 0.00% |
| 2018-07-31 | 0 | 0 | 0 | 0.00% |
| 2018-06-30 | 0 | 0 | 0 | 0.00% |
| 2018-05-31 | 0 | 0 | 0 | 0.00% |
| 2018-04-30 | 0 | 0 | 0 | 0.00% |
| 2018-03-31 | 0 | 0 | 0 | 0.00% |
| 2018-02-28 | 0 | 0 | 0 | 0.00% |
| 2018-01-31 | 0 | 0 | 0 | 0.00% |
| 2017-12-31 | 0 | 0 | 0 | 0.00% |
| 2017-11-30 | 0 | 0 | 0 | 0.00% |
| 2017-10-31 | 0 | 0 | 0 | 0.00% |
| 2017-09-30 | 0 | 0 | 0 | 0.00% |
| 2017-08-31 | 0 | 0 | 0 | 0.00% |
| 2017-07-31 | 0 | 0 | 0 | 0.00% |
| 2017-06-30 | 0 | 0 | 0 | 0.00% |
| 2017-05-31 | 0 | 0 | 0 | 0.00% |
| 2017-04-30 | 0 | 0 | 0 | 0.00% |
| 2017-03-31 | 0 | 0 | 0 | 0.00% |
| 2017-02-28 | 0 | 0 | 0 | 0.00% |
| 2017-01-31 | 0 | 0 | 0 | 0.00% |
| 2016-12-31 | 0 | 0 | 0 | 0.00% |
| 2016-11-30 | 0 | 0 | 0 | 0.00% |
| 2016-10-31 | 0 | 0 | 0 | 0.00% |
| 2016-09-30 | 0 | 0 | 0 | 0.00% |
| 2016-08-31 | 0 | 0 | 0 | 0.00% |
| 2016-07-31 | 0 | 0 | 0 | 0.00% |
| 2016-06-30 | 0 | 0 | 0 | 0.00% |
| 2016-05-31 | 0 | 0 | 0 | 0.00% |
| 2016-04-30 | 0 | 0 | 0 | 0.00% |
| 2016-03-31 | 0 | 0 | 0 | 0.00% |
| 2016-02-29 | 0 | 0 | 0 | 0.00% |
| 2016-01-31 | 0 | 0 | 0 | 0.00% |
| 2015-12-31 | 0 | 0 | 0 | 0.00% |
| 2015-11-30 | 0 | 0 | 0 | 0.00% |
| 2015-10-31 | 0 | 0 | 0 | 0.00% |
| 2015-09-30 | 0 | 0 | 0 | 0.00% |
| 2015-08-31 | 0 | 0 | 0 | 0.00% |
| 2015-07-31 | 0 | 0 | 0 | 0.00% |
| 2015-06-30 | 0 | 0 | 0 | 0.00% |
| 2015-05-31 | 0 | 0 | 0 | 0.00% |
| 2015-04-30 | 0 | 0 | 0 | 0.00% |
| 2015-03-31 | 0 | 0 | 0 | 0.00% |
| 2015-02-28 | 0 | 0 | 0 | 0.00% |
| 2015-01-31 | 0 | 0 | 0 | 0.00% |
| 2014-12-31 | 0 | 0 | 0 | 0.00% |
| 2014-11-30 | 0 | 0 | 0 | 0.00% |
| 2014-10-31 | 0 | 0 | 0 | 0.00% |
| 2014-09-30 | 0 | 0 | 0 | 0.00% |
| 2014-08-31 | 0 | 0 | 0 | 0.00% |
| 2014-07-31 | 0 | 0 | 0 | 0.00% |
| 2014-06-30 | 0 | 0 | 0 | 0.00% |
| 2014-05-31 | 0 | 0 | 0 | 0.00% |
| 2014-04-30 | 0 | 0 | 0 | 0.00% |
| 2014-03-31 | 0 | 0 | 0 | 0.00% |
| 2014-02-28 | 0 | 0 | 0 | 0.00% |
| 2014-01-31 | 0 | 0 | 0 | 0.00% |
| 2013-12-31 | 0 | 0 | 0 | 0.00% |
| 2013-11-30 | 0 | 0 | 0 | 0.00% |
| 2013-10-31 | 0 | 0 | 0 | 0.00% |
| 2013-09-30 | 0 | 0 | 0 | 0.00% |
| 2013-08-31 | 0 | 0 | 0 | 0.00% |
| 2013-07-31 | 0 | 0 | 0 | 0.00% |
| 2013-06-30 | 0 | 0 | 0 | 0.00% |
| 2013-05-31 | 0 | 0 | 0 | 0.00% |
| 2013-04-30 | 0 | 0 | 0 | 0.00% |
| 2013-03-31 | 0 | 0 | 0 | 0.00% |
| 2013-02-28 | 0 | 0 | 0 | 0.00% |
| 2013-01-31 | 0 | 0 | 0 | 0.00% |
| 2012-12-31 | 0 | 0 | 0 | 0.00% |
| 2012-11-30 | 0 | 0 | 0 | 0.00% |
| 2012-10-31 | 0 | 0 | 0 | 0.00% |
| 2012-09-30 | 0 | 0 | 0 | 0.00% |
| 2012-08-31 | 0 | 0 | 0 | 0.00% |
| 2012-07-31 | 0 | 0 | 0 | 0.00% |
| 2012-06-30 | 0 | 0 | 0 | 0.00% |
| 2012-05-31 | 0 | 0 | 0 | 0.00% |
| 2012-04-30 | 0 | 0 | 0 | 0.00% |
| 2012-03-31 | 0 | 0 | 0 | 0.00% |
| 2012-02-29 | 0 | 0 | 0 | 0.00% |
| 2012-01-31 | 0 | 0 | 0 | 0.00% |
| 2011-12-31 | 0 | 0 | 0 | 0.00% |
| 2011-11-30 | 0 | 0 | 0 | 0.00% |
| 2011-10-31 | 0 | 0 | 0 | 0.00% |
| 2011-09-30 | 0 | 0 | 0 | 0.00% |
| 2011-08-31 | 0 | 0 | 0 | 0.00% |
| 2011-07-31 | 0 | 0 | 0 | 0.00% |
| 2011-06-30 | 0 | 0 | 0 | 0.00% |
| 2011-05-31 | 0 | 0 | 0 | 0.00% |
| 2011-04-30 | 0 | 0 | 0 | 0.00% |
| 2011-03-31 | 0 | 0 | 0 | 0.00% |
| 2011-02-28 | 0 | 0 | 0 | 0.00% |
| 2011-01-31 | 0 | 0 | 0 | 0.00% |
| 2010-12-31 | 0 | 0 | 0 | 0.00% |
| 2010-11-30 | 0 | 0 | 0 | 0.00% |
| 2010-10-31 | 0 | 0 | 0 | 0.00% |
| 2010-09-30 | 0 | 0 | 0 | 0.00% |
| 2010-08-31 | 1 | 1 | 2 | 50.00% |
| 2010-07-31 | 1 | 1 | 2 | 50.00% |
| 2010-06-30 | 1 | 1 | 2 | 50.00% |
| 2010-05-31 | 1 | 1 | 2 | 50.00% |
| 2010-04-30 | 1 | 1 | 2 | 50.00% |
| 2010-03-31 | 1 | 1 | 2 | 50.00% |
| 2010-02-28 | 2 | 1 | 3 | 33.33% |
| 2010-01-31 | 2 | 1 | 3 | 33.33% |
| 2009-12-31 | 2 | 1 | 3 | 33.33% |
| 2009-11-30 | 2 | 1 | 3 | 33.33% |
| 2009-10-31 | 2 | 1 | 3 | 33.33% |
| 2009-09-30 | 2 | 1 | 3 | 33.33% |
| 2009-08-31 | 2 | 1 | 3 | 33.33% |
| 2009-07-31 | 2 | 1 | 3 | 33.33% |
| 2009-06-30 | 2 | 0 | 2 | 0.00% |
| 2009-05-31 | 2 | 0 | 2 | 0.00% |
| 2009-04-30 | 2 | 0 | 2 | 0.00% |
| 2009-03-31 | 2 | 0 | 2 | 0.00% |
| 2009-02-28 | 0 | 0 | 0 | 0.00% |
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