Lee, Tai Tong 李棣棠
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | EWARTON SECURITIES LIMITED | Rep | Dealing in securities | 2011-02-09 | 2015-01-30 |
| 2 | FIRST SHANGHAI FUTURES LIMITED | Rep | Automated trading services | 2003-09-05 | Rep | Advising on futures contracts | 2004-08-10 | Rep | Asset management | 2004-08-10 | Rep | Dealing in futures contracts | 2011-02-06 |
| 3 | FIRST SHANGHAI SECURITIES LIMITED | Rep | Automated trading services | 2003-09-02 | Rep | Advising on corporate finance | 2004-08-10 | Rep | Advising on securities | 2004-08-10 | Rep | Asset management | 2004-08-10 | Rep | Dealing in securities | 2011-02-06 |
| 4 | PINESTONE SECURITIES LIMITED | RO | Dealing in securities | 2022-11-03 | |
| 5 | Prior Securities Limited | Rep | Dealing in securities | 2016-09-28 | 2016-11-21 | RO | Dealing in securities | 2016-11-21 | 2022-06-22 |
| 6 | SoFi Securities (Hong Kong) Limited | Rep | Dealing in securities | 2015-02-09 | 2015-12-29 | Rep | Advising on securities | 2015-12-23 | 2016-08-26 | RO | Dealing in securities | 2015-12-29 | 2016-08-26 |
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