CICC US Securities, Inc.

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2009
SFC ID Role From Until
1 Fan, Kun 范堃 AKI412 RO 2008-05-15 2010-08-24
2 Lu, Yilin (SFC:AOG682) 呂禕麟 28 M AOG682 Rep 2008-05-30 2011-10-31
3 Poon, Ming Pui 潘明培 M AAF320 RO 2007-08-03 2009-06-20
4 Wong, Hong Man 王康曼 F ANQ014 Rep 2007-08-06 2010-05-21
5 Woo, Jimmy Cheung Yee 吳祥貽 M ADI032 Rep 2007-08-06 2010-09-01
6 Zhang, Lanlan (SFC:AFP100) 張嵐嵐 AFP100 Rep 2008-05-30 2009-12-02
7 Zhang, Yu (SFC:APS294) 張妤 APS294 Rep 2008-02-05 2009-06-04

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