Hong Kong SFC licence institution ABP316, ALPS Advisory (HK) Limited

These are the licence-holders that were found for SFC licence institution ABP316 on the SFC website.

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Key for Role: RE = Respresentative, RO = Responsible Officer

SFC code English name Chinese name Role Activity Start date End date
ABW094 WANG Audrey 王允默 RO Dealing in Securities 2013-11-20
ABW094 WANG Audrey 王允默 RO Advising on Securities 2003-04-01
ABW094 WANG Audrey 王允默 RO Advising on Corporate Finance 2003-04-01 2004-06-25
ABW094 WANG Audrey 王允默 RO Asset Management 2003-04-01
ADI558 CHAN Wai Man, Jacky 陳偉民 RO Dealing in Securities 2013-11-20 2016-05-01
ADI558 CHAN Wai Man, Jacky 陳偉民 RE Advising on Securities 2003-04-01 2003-10-07
ADI558 CHAN Wai Man, Jacky 陳偉民 RO Advising on Securities 2003-10-07 2016-05-01
ADI558 CHAN Wai Man, Jacky 陳偉民 RE Advising on Corporate Finance 2003-04-01 2003-06-16
ADI558 CHAN Wai Man, Jacky 陳偉民 RE Asset Management 2003-04-01 2003-10-07
ADI558 CHAN Wai Man, Jacky 陳偉民 RO Asset Management 2003-10-07 2016-05-01
ADU326 CHAN Winnie 陳慧如 RE Dealing in Securities 2014-01-03 2016-10-12
ADU326 CHAN Winnie 陳慧如 RE Advising on Securities 2004-09-18 2016-10-12
ADU326 CHAN Winnie 陳慧如 RE Asset Management 2006-07-18 2016-10-12
AEC085 LIN An Ming 林安明 RE Advising on Securities 2007-03-26 2009-10-01
AEC085 LIN An Ming 林安明 RE Asset Management 2007-05-11 2009-10-01
AEP483 JONES Robert Franklin Jr. 鍾尚錞 RO Advising on Securities 2004-01-30 2004-08-04
AEP483 JONES Robert Franklin Jr. 鍾尚錞 RO Asset Management 2004-01-30 2004-08-04
AFB193 LEUNG Kwok Wai 梁國威 RE Dealing in Securities 2014-01-03 2017-09-07
AFB193 LEUNG Kwok Wai 梁國威 RE Advising on Securities 2012-09-10 2017-09-07
AFB193 LEUNG Kwok Wai 梁國威 RE Asset Management 2012-09-10 2017-09-07
AFX483 CHEUNG Yui Ping, Karen 張蕊萍 RE Dealing in Securities 2016-10-24 2017-04-29
AFX483 CHEUNG Yui Ping, Karen 張蕊萍 RE Advising on Securities 2016-10-24 2017-04-29
AFX483 CHEUNG Yui Ping, Karen 張蕊萍 RE Asset Management 2016-10-24 2017-04-29
AGT970 CHAN Fai Tong 陳輝棠 RE Advising on Securities 2003-04-01 2004-07-12
AGT970 CHAN Fai Tong 陳輝棠 RO Advising on Securities 2004-07-12 2006-08-31
AGT970 CHAN Fai Tong 陳輝棠 RE Advising on Corporate Finance 2003-04-01 2003-10-24
AGT970 CHAN Fai Tong 陳輝棠 RE Asset Management 2003-04-01 2003-10-24
ALA835 IP Sau Mai, Amy 葉秀薇 RO Dealing in Securities 2013-11-20
ALA835 IP Sau Mai, Amy 葉秀薇 RE Advising on Securities 2004-07-28 2009-11-05
ALA835 IP Sau Mai, Amy 葉秀薇 RO Advising on Securities 2009-11-05
ALA835 IP Sau Mai, Amy 葉秀薇 RE Asset Management 2006-04-25 2009-11-05
ALA835 IP Sau Mai, Amy 葉秀薇 RO Asset Management 2009-11-05
ALK306 CHUI Sze Man 徐思敏 RE Advising on Securities 2004-11-12 2009-08-17
ALK306 CHUI Sze Man 徐思敏 RE Asset Management 2006-07-18 2009-08-17
AME526 CHENG Kai Ki 鄭佳琪 RE Advising on Securities 2007-06-08 2009-08-14
AME526 CHENG Kai Ki 鄭佳琪 RE Asset Management 2007-08-02 2009-08-14
AQV835 FU Jonathan Dei Jeng 傅棣章 RE Asset Management 2008-04-16 2008-09-30
AQY025 LO Jonathan Ka Yan 羅家炘 RE Dealing in Securities 2017-09-08
AQY025 LO Jonathan Ka Yan 羅家炘 RE Advising on Securities 2017-09-08
AQY025 LO Jonathan Ka Yan 羅家炘 RE Asset Management 2017-09-08
AQY026 LO Ka How, Benjamin 羅家浩 RE Dealing in Securities 2014-01-03
AQY026 LO Ka How, Benjamin 羅家浩 RE Advising on Securities 2013-01-17
AQY026 LO Ka How, Benjamin 羅家浩 RE Asset Management 2013-01-17
AQZ608 LAU Lai Shan 劉麗珊 RE Dealing in Securities 2014-07-30 2015-03-01
AQZ608 LAU Lai Shan 劉麗珊 RE Advising on Securities 2014-07-30 2015-03-01
AQZ608 LAU Lai Shan 劉麗珊 RE Asset Management 2014-07-30 2015-03-01
ARL029 KING Kalina Shaw Tsang-jia RE Advising on Securities 2010-02-24 2012-02-01
ARL029 KING Kalina Shaw Tsang-jia RE Asset Management 2010-02-24 2012-02-01
ARW145 CHUI Kwok Yan, Karen 崔幗欣 RE Dealing in Securities 2014-01-03
ARW145 CHUI Kwok Yan, Karen 崔幗欣 RE Advising on Securities 2008-12-09
ARW145 CHUI Kwok Yan, Karen 崔幗欣 RE Asset Management 2008-12-09
ATN456 WONG Shiu Hung 黃兆鏗 RE Advising on Securities 2009-08-11 2011-08-06
ATN456 WONG Shiu Hung 黃兆鏗 RE Asset Management 2009-08-11 2011-08-06
AUC313 LEE Yee Nam 李怡南 RE Dealing in Securities 2014-01-03
AUC313 LEE Yee Nam 李怡南 RE Advising on Securities 2009-11-10
AUC313 LEE Yee Nam 李怡南 RE Asset Management 2009-11-10
AXT729 NG Rebecca Cheuk Ying 吳卓瑩 RE Dealing in Securities 2014-01-03 2014-10-01
AXT729 NG Rebecca Cheuk Ying 吳卓瑩 RE Advising on Securities 2011-08-08 2014-10-01
AXT729 NG Rebecca Cheuk Ying 吳卓瑩 RE Asset Management 2011-08-08 2014-10-01
AYT933 CUENCA Diego Kalaw RE Advising on Securities 2012-01-10 2014-02-01
AYT933 CUENCA Diego Kalaw RE Asset Management 2012-01-10 2014-02-01
BCS202 TAM Ka Wai Kenneth 譚家維 RE Dealing in Securities 2014-01-14 2017-04-29
BCS202 TAM Ka Wai Kenneth 譚家維 RE Advising on Securities 2014-01-14 2017-04-29
BCS202 TAM Ka Wai Kenneth 譚家維 RE Asset Management 2014-01-14 2017-04-29
BEE958 LEE Tsz Yan, Eva 李芷茵 RE Dealing in Securities 2014-09-24
BEE958 LEE Tsz Yan, Eva 李芷茵 RE Advising on Securities 2014-09-24
BEE958 LEE Tsz Yan, Eva 李芷茵 RE Asset Management 2014-09-24
BIK044 WONG Yee Ling 王綺寧 RE Dealing in Securities 2016-10-19
BIK044 WONG Yee Ling 王綺寧 RE Advising on Securities 2016-10-19
BIK044 WONG Yee Ling 王綺寧 RE Asset Management 2016-10-19
BJO849 CHENG Wing Lam 鄭穎琳 RE Dealing in Securities 2017-05-24 2017-12-01
BJO849 CHENG Wing Lam 鄭穎琳 RE Advising on Securities 2017-05-24 2017-12-01
BJO849 CHENG Wing Lam 鄭穎琳 RE Asset Management 2017-05-24 2017-12-01
BJP988 LAM Ryan Pui Yu 林沛宇 RE Dealing in Securities 2017-05-26
BJP988 LAM Ryan Pui Yu 林沛宇 RE Advising on Securities 2017-05-26
BJP988 LAM Ryan Pui Yu 林沛宇 RE Asset Management 2017-05-26
BMT432 AU Vincent Wing Yiu 區永耀 RE Dealing in Securities 2018-04-17
BMT432 AU Vincent Wing Yiu 區永耀 RE Advising on Securities 2018-04-17
BMT432 AU Vincent Wing Yiu 區永耀 RE Asset Management 2018-04-17

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