Wells Fargo Securities Asia 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 |
|---|---|---|---|---|
| 2024-04-29 | 7 | 27 | 34 | 79.41% |
| 2023-12-31 | 6 | 27 | 33 | 81.82% |
| 2022-12-31 | 7 | 26 | 33 | 78.79% |
| 2021-12-31 | 7 | 20 | 27 | 74.07% |
| 2020-12-31 | 11 | 22 | 33 | 66.67% |
| 2019-12-31 | 11 | 25 | 36 | 69.44% |
| 2018-12-31 | 13 | 38 | 51 | 74.51% |
| 2017-12-31 | 13 | 38 | 51 | 74.51% |
| 2016-12-31 | 7 | 36 | 43 | 83.72% |
| 2015-12-31 | 8 | 26 | 34 | 76.47% |
| 2014-12-31 | 6 | 20 | 26 | 76.92% |
| 2013-12-31 | 5 | 13 | 18 | 72.22% |
| 2012-12-31 | 4 | 16 | 20 | 80.00% |
| 2011-12-31 | 3 | 11 | 14 | 78.57% |
| 2010-12-31 | 4 | 11 | 15 | 73.33% |
| 2009-12-31 | 4 | 10 | 14 | 71.43% |
| 2008-12-31 | 4 | 14 | 18 | 77.78% |
| 2007-12-31 | 0 | 0 | 0 | 0.00% |
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