GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED 國泰君安證券(香港)有限公司

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2013
SFC ID Role From Until
1 Cai, Xiaoye 蔡曉曄 AXT532 Rep 2013-10-11 2015-07-04
2 Chan, Andrew Wai Cheong 陳偉昌 M ATO804 Rep 2012-04-11 2017-08-26
3 Chan, Calvin Tak Man 陳德文 M BAJ169 Rep 2012-10-26
4 Chan, Hing (SFC:AVO463) 陳慶 AVO463 Rep 2013-01-09 2015-08-25
5 Chan, Ka Wah (SFC:ACT175) 陳家驊 ACT175 Rep 2020-10-31
6 Chan, Kwok Chu 陳國柱 ACV735 Rep 2021-09-30
7 Chan, Lai Ngor (SFC:AEZ697) 陳麗娥 AEZ697 Rep 2008-06-05 2017-11-08
8 Chan, Loi Tak 陳來得 AFG864 Rep 2025-04-16
9 Chan, Man Fung (SFC:AUE707) 陳文鋒 AUE707 Rep 2013-03-26 2022-06-30
10 Chan, Man Tik 陳文迪 BBS455 Rep 2013-08-09
11 Chan, Shek Chuen 陳錫泉 ARE460 Rep 2012-11-01 2013-12-09
12 Chan, Wai Tung (SFC:ABH394) 陳偉東 ABH394 Rep
13 Chang, Chun Lap 張駿立 ALU225 Rep 2010-02-17 2014-06-15
14 Chang, Wan-Ling 張菀玲 AUP742 Rep 2010-01-22 2017-05-07
15 Chau, Po Shan 周寶山 ACL187 Rep 2019-12-31
16 Chen, Chia-hui (SFC:ASU227) 陳佳慧 ASU227 Rep 2013-03-11 2016-06-02
17 Chen, Huanyu 陳歡瑜 AUA982 Rep 2009-11-26 2015-07-08
18 Chen, Liang (SFC:BBD984) 陳亮 BBD984 Rep 2013-04-18 2014-12-01
19 Chen, Tao (SFC:AZY872) 陳韜 AZY872 Rep 2012-07-27 2017-02-03
20 Chen, Yi yin (SFC:AXB314) 陳怡吟 AXB314 Rep 2012-07-10 2020-07-15
21 Chen, Ying (SFC:ASX209) 陳穎 ASX209 Rep 2009-11-18
22 Chen, Yingying (SFC:AOJ051) 陳盈盈 AOJ051 Rep 2007-01-02
23 Chen, Zhenyuan (SFC:ALZ069) 陳貞媛 ALZ069 Rep 2010-03-03
24 Cheng, Pui Lam (SFC:AVC990) 鄭佩琳 AVC990 Rep 2012-11-06 2014-03-05
25 Cheung, Ming Hung (SFC:ARD601) 張銘洪 ARD601 Rep 2008-07-25
26 Cheung, Tin Chun 張天駿 BBU419 Rep 2013-08-30 2014-11-30
27 Cheung, Wing Sze (SFC:ALW944) 張穎思 ALW944 Rep 2005-05-18 2022-07-09
28 Chik, Chuk Nor 戚竹娜 AJD283 Rep 2003-09-19 2022-07-31
29 Chiu, Hsih Chien 丘世健 ANF213 RO 2012-10-04 2014-07-01
30 Chu, Yin Man (SFC:ABS053) 朱賢文 ABS053 Rep
31 Chu, Ying (SFC:AXP797) 朱瑩 AXP797 Rep 2011-07-12
32 Chui, Wai Fong 徐惠芳 AUQ988 Rep 2012-11-01 2022-08-14
33 Chui, Yu Wing 徐汝榮 ADI062 Rep 2006-11-13 2020-09-18
34 Dai, Bo (SFC:AZG279) 代波 AZG279 Rep 2012-04-13 2016-08-11
35 Dai, Huiwei 戴惠偉 AMF538 Rep 2007-11-22
36 Fan, Chi Wai 樊志煒 AFU087 Rep 2012-09-20 2020-06-19
37 Feng, Anna Hua F AVX426 Rep 2013-08-02 2014-05-01
38 Fok, Chi Cheung Allen 霍智祥 AXZ088 Rep 2011-08-30 2015-09-20
39 Gu, Qiaoyi 古喬藝 AUZ363 Rep 2010-05-03 2016-08-31
40 Gui, Qiongyan 桂琼嫣 ART043 Rep 2008-11-14 2020-07-31
41 Guo, Yong (SFC:AXS906) 郭勇 AXS906 Rep 2011-07-29 2024-05-10
42 Han, Wenyuan 韓文苑 AQC822 Rep 2007-12-31
43 Hao, Yun (SFC:AVI199) 郝運 AVI199 RO 2013-11-18 2017-07-14
44 He, Jun (SFC:AUR969) 何鈞 AUR969 Rep 2010-11-12 2023-10-31
45 Hon, Kin Chung 韓建中 AQO379 Rep 2008-06-02
46 Huang, Luyao (SFC:AQR396) 黃路遙 AQR396 Rep 2009-10-14 2017-05-20
47 Huang, Yanming (SFC:ANY447) 黃燕銘 ANY447 Rep 2012-10-05 2025-04-22
48 Hudson, Noah John M AVV666 Rep 2010-09-30 2016-08-15
49 Hui, Yu Cheung 許宇翔 ALB979 Rep 2006-01-16
50 Jiang, Lawrence M ACM894 Rep 2017-02-14
51 Jiang, Lu (SFC:ARU865) 姜璐 ARU865 Rep 2008-12-09 2019-10-25
52 Jiang, Xiaoyan (SFC:AVP036) 蔣小燕 AVP036 Rep 2013-10-25 2019-09-04
53 Jiao, Ying (SFC:AQS661) 焦穎 AQS661 Rep 2008-07-09 2023-10-20
54 Jin, Dayong 金達勇 BBJ693 Rep 2013-06-05 2014-07-01
55 Kan, Pinky Lai Ping 簡麗萍 AKY991 Rep 2009-09-11
56 Kong, Yuan 孔原 BAB543 Rep 2012-08-15
57 Kwok, Keung (SFC:AED064) 郭強 AED064 Rep 2014-08-06
58 Kwok, Yat Sing 郭日昇 ARR940 Rep 2010-10-22 2016-08-06
59 Lai, Kai Hung 黎啟雄 ABU524 Rep 2021-10-28
60 Lai, Maureen 黎傲雪 F AUU966 Rep 2010-03-22 2020-05-22
61 Lai, Pak Kin 黎柏堅 ATR485 Rep 2012-06-04 2018-08-16
62 Lam, Chuen (SFC:ARN384) 林泉 ARN384 Rep 2008-08-18 2016-05-03
63 Lam, Sin Yee (SFC:ARA636) 林倩而 ARA636 Rep 2012-06-21 2016-01-15
64 Lam, Tat Shing (SFC:AUV992) 林達誠 AUV992 Rep 2013-09-30 2024-02-02
65 Lam, Yuen Hei (SFC:AXF651) 林婉琋 AXF651 Rep 2011-04-28 2014-07-24
66 Lau, Karen Kin Kwan 劉建軍 F AXH328 Rep 2013-01-07 2018-05-01
67 Lau, Mei 劉薇 AMX207 Rep 2007-08-16
68 Lau, Ying (SFC:AGB977) 劉營 AGB977 Rep 2011-06-07 2024-04-01
69 Lee, Benedict Chun Yin 李俊賢 M AQT306 Rep 2009-11-05
70 Lee, Eric Ming Chuan 李明權 52 M ABI189 RO 2021-02-07
71 Lei, Qiang (SFC:AOI913) 雷強 AOI913 Rep 2012-03-22 2016-08-15
72 Leung, Alexander (SFC:ANH673) 梁皓鈞 M ANH673 Rep 2013-01-08 2017-11-13
73 Leung, Chor Ming 梁礎銘 AEA299 Rep 2012-09-03 2021-09-03
74 Leung, Chun Pui 梁俊培 AUC491 Rep 2011-07-04
75 Leung, Kevin Koon Yip 梁冠業 M AMY262 Rep 2012-09-04 2014-04-28
76 Li, Guangjie 李光杰 45 M AHH526 RO 2008-06-23 2018-07-06
77 Li, Jean Tan 李丹 AQH516 Rep 2008-01-15 2020-02-19
78 Li, Wen (SFC:APD353) 李雯 APD353 Rep 2007-06-25 2022-10-30
79 Li, Zhan (SFC:AZX297) 李湛 AZX297 Rep 2013-07-08 2017-10-29
80 Liu, Baoman ATL999 Rep 2009-07-28 2017-09-09
81 Liu, Gu 劉谷 AJE163 Rep 2003-11-19 2014-02-27
82 Liu, Po Wen 劉博文 ATL504 Rep 2012-06-04 2015-05-01
83 Lo, Wai Lun (SFC:AVM934) 盧煒燐 AVM934 Rep 2013-08-08 2016-05-15
84 Lo, Wilson Kwong Shun 羅廣信 40 M AFQ413 Rep 2008-11-03 2021-12-19
85 Lou, Simon Wing Chung 羅永頌 M ABI724 Rep 2018-06-15
86 Lu, Lu (SFC:AKX339) 呂露 AKX339 Rep 2004-08-26
87 Lui, Hung Kik 呂鴻極 AZF855 Rep 2012-03-29 2020-08-12
88 Luk, Yiu Tong 陸耀棠 ACA597 Rep 2004-12-13 2014-01-03
89 Luo, Weicheng (SFC:BAP838) 羅偉成 BAP838 Rep 2012-12-19 2020-07-31
90 Mak, Winnie (SFC:AAI867) 麥婉儀 F AAI867 Rep 2003-11-08 2021-02-15
91 Meng, Hao (SFC:AZW133) 孟昊 AZW133 Rep 2012-07-11 2015-12-05
92 Ng, Chi Fai (SFC:AQJ964) 吳志暉 AQJ964 Rep 2008-02-26 2019-01-01
93 Ng, Fung On 吳鳳安 AVR386 Rep 2010-09-09 2014-07-23
94 Ng, Kei Chi 吳琦熾 ALN804 Rep 2009-03-11
95 Ng, Suet Man 吳雪雯 AEK106 Rep 2020-08-31
96 Pan, Youdian 潘有典 AJM450 Rep 2005-01-12
97 Peng, Gangxiang 彭港祥 AOA661 Rep 2010-03-01 2013-12-25
98 Pritchard, Christine (SFC:BCJ615) 袁梦 F BCJ615 Rep 2013-11-26
99 Rao, Xiuxian 饒秀嫻 ARU871 Rep 2008-12-09 2019-10-25
100 Shen, Yue (SFC:AIH410) 沈悅 AIH410 Rep
101 Sheng, Hua 盛驊 AYG180 Rep 2011-10-14 2014-06-16
102 Shiu, Annie Nga Yan 邵雅恩 F ALD381 Rep 2004-10-11 2018-05-10
103 Song, Ran (SFC:AXH307) 宋然 AXH307 Rep 2011-05-16 2015-12-12
104 Sun, Fengqiang 孫鳳強 AVS893 Rep 2010-09-20 2014-07-25
105 Sun, Yi Lam 孫意琳 AMS189 Rep 2005-11-16 2020-11-23
106 Tai, Ming Kong 戴銘光 AQW020 Rep 2012-10-15
107 Tan, Liqiong 譚麗琼 BCI506 Rep 2013-11-21 2017-11-18
108 Tang, Sai Keung 鄧世強 AUI997 Rep 2011-05-19 2014-11-21
109 Tsoi, Wai Kwong (SFC:AOY483) 蔡偉光 AOY483 Rep 2008-09-22
110 Tsui, Simon Hok Man 崔學民 M AEZ898 Rep 2006-04-21 2022-01-09
111 Tung, Corona Wing Fong 董詠芳 ABN060 Rep
112 Wan, Chun Man (SFC:ATY752) 尹俊文 ATY752 Rep 2013-08-08 2017-06-27
113 Wang, Gang (SFC:AGN326) 王剛 AGN326 Rep 2004-02-05
114 Wang, Junhong (SFC:BBL215) 汪俊紅 BBL215 Rep 2013-07-30 2024-07-19
115 Wang, Qinglu 王慶魯 AYI119 Rep 2012-11-05 2017-05-02
116 Wang, Xinyuan (SFC:AQA458) 王昕媛 AQA458 Rep 2009-05-07 2020-01-29
117 Wang, Ya Ya 王婭婭 ARO574 Rep 2008-09-30 2016-10-03
118 Wang, Yifei (SFC:ATE786) 王翼飛 ATE786 Rep 2009-06-22 2015-04-02
119 Wong, Anthony (SFC:AFU754) 黃嘉賢 M AFU754 Rep 2008-11-03 2023-01-30
120 Wong, Bryan Pui Yuen 黃沛源 M AOH949 Rep 2012-10-15
121 Wong, Ka Wai (SFC:AVH850) 黃家瑋 AVH850 Rep 2010-06-25 2024-09-05
122 Wong, Pik Shan (SFC:AYQ357) 黃碧珊 AYQ357 Rep 2011-12-12 2017-10-14
123 Wong, Tung Ching 王冬青 42 M AGG343 RO 2004-09-10 2023-07-10
124 Wong, Wai Fong (SFC:AFK470) 黃惠芳 AFK470 Rep 2003-08-19 2016-07-12
125 Wong, Wai Lun (SFC:ALQ942) 黃偉麟 ALQ942 Rep 2010-09-17 2020-06-03
126 Wu, Hongjian 吳洪健 ALS600 Rep 2005-04-07
127 Wu, Qiong (SFC:AOE681) 吳穹 AOE681 Rep 2006-11-20
128 Wu, Yichao (SFC:AVI107) 吳逸超 AVI107 Rep 2010-06-25 2017-01-01
129 Xie, Jun (SFC:AOB779) 謝俊 AOB779 Rep 2007-10-15 2017-11-23
130 Xu, Yiwei (SFC:BBQ357) 徐懿薇 BBQ357 Rep 2013-07-29 2017-07-20
131 Xu, Zhi Cheng 許智程 AWU540 Rep 2011-02-14 2014-12-22
132 Yang, Xi (SFC:AQW339) 楊曦 AQW339 Rep 2008-07-09 2019-10-25
133 Yau, Deirdre 邱迪怡 F ADS781 Rep 2004-04-06 2021-01-31
134 Yeung, Pui Yan 楊佩恩 AVE023 Rep 2012-08-29 2014-07-01
135 Yeung, Tze Fung 楊子峰 ACS539 RO 2012-05-22
136 Yeung, Wai Cheung 楊偉祥 AFW456 Rep 2006-02-17 2022-09-30
137 Yim, Fung 閻峰 50 M AFP741 RO 2015-07-28
138 Yim, Siu Cheung 閻紹樟 AHF674 Rep 2003-05-06
139 Yip, Bun Bun 葉濱濱 AZK893 Rep 2012-05-16 2013-12-09
140 Yip, Chin Hong 葉展航 APP546 Rep 2007-09-13
141 Yu, Daisy Wing Yi 余穎怡 F AHE833 Rep 2005-12-29
142 Yu, Kwan Fei 虞珺斐 ALU224 Rep 2005-04-28 2021-09-09
143 Yu, Lifeng (SFC:AYA736) 余立峰 AYA736 Rep 2011-09-12 2016-05-07
144 Yuen, Kin Yuk 阮健毓 APL591 Rep 2013-03-26 2014-12-05
145 Zhang, Fan (SFC:BCD863) 張帆 BCD863 Rep 2013-10-28 2022-06-25
146 Zhang, Jinhui (SFC:AMU874) 張金暉 AMU874 RO 2013-08-02 2023-09-29
147 Zhang, Lingyun (SFC:AJC735) 張凌云 AJC735 Rep 2004-09-23
148 Zhang, Sijun (SFC:AHK260) 張嗣君 AHK260 Rep
149 Zhang, Yan (SFC:BBG315) 張燕 BBG315 Rep 2013-05-07 2022-12-18
150 Zhao, Rui (SFC:ATI408) 趙睿 ATI408 Rep 2009-09-25 2017-08-12
151 Zhao, Xianghuai 趙湘怀 AYT308 Rep 2013-03-01 2015-04-08
152 Zhuang, Jin (SFC:AZT481) 庄進 AZT481 Rep 2012-06-26 2016-11-17

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