Hong Kong SFC licence institution ADW473, Wharton Investment Advisors Limited

These are the licence-holders that were found for SFC licence institution ADW473 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
ABR240 POST Vanessa Jane RO Dealing in Securities 2003-04-01 2004-03-22
ABR240 POST Vanessa Jane RO Advising on Securities 2003-04-01 2015-02-09
ABR240 POST Vanessa Jane RO Advising on Futures Contracts 2003-04-01 2015-02-09
ABR240 POST Vanessa Jane RO Advising on Corporate Finance 2003-04-01 2004-03-22
ABR240 POST Vanessa Jane RO Asset Management 2003-04-01 2015-02-09
ABY975 LEE Gi Yue, Vivian 李梓瑜 RE Advising on Securities 2006-12-28 2014-09-30
ABY975 LEE Gi Yue, Vivian 李梓瑜 RE Advising on Futures Contracts 2006-12-28 2014-09-30
ABY975 LEE Gi Yue, Vivian 李梓瑜 RE Asset Management 2006-10-31 2014-09-30
ACA578 POST David Kenneth RO Dealing in Securities 2003-04-01 2004-03-22
ACA578 POST David Kenneth RO Advising on Securities 2003-04-01 2014-09-30
ACA578 POST David Kenneth RO Advising on Futures Contracts 2003-04-01 2014-09-30
ACA578 POST David Kenneth RO Asset Management 2003-04-01 2014-09-30
ADR450 STUART Shane Vivian Julian RE Advising on Securities 2007-09-21 2007-10-10
ADR450 STUART Shane Vivian Julian RO Advising on Securities 2007-10-10 2009-03-31
ADR450 STUART Shane Vivian Julian RE Asset Management 2007-09-21 2007-10-10
ADR450 STUART Shane Vivian Julian RO Asset Management 2007-10-10 2009-03-31
AFS532 LAM Wai Leung 林偉亮 RE Dealing in Securities 2003-04-01 2004-03-19
AFS532 LAM Wai Leung 林偉亮 RE Advising on Securities 2003-04-01 2005-10-19
AFS532 LAM Wai Leung 林偉亮 RE Advising on Futures Contracts 2003-04-01 2005-10-19
AFS532 LAM Wai Leung 林偉亮 RE Advising on Corporate Finance 2003-04-01 2004-03-19
AFS532 LAM Wai Leung 林偉亮 RE Asset Management 2003-04-01 2005-10-19
AGL754 KARKHANIS Sarang Maitreya RE Dealing in Securities 2003-04-01 2003-08-29
AGL754 KARKHANIS Sarang Maitreya RE Advising on Securities 2003-04-01 2003-08-29
AGL754 KARKHANIS Sarang Maitreya RO Advising on Securities 2007-04-16 2014-06-30
AGL754 KARKHANIS Sarang Maitreya RE Advising on Futures Contracts 2003-04-01 2003-08-29
AGL754 KARKHANIS Sarang Maitreya RE Advising on Futures Contracts 2007-06-28 2014-06-30
AGL754 KARKHANIS Sarang Maitreya RE Advising on Corporate Finance 2003-04-01 2003-08-29
AGL754 KARKHANIS Sarang Maitreya RE Asset Management 2003-04-01 2003-08-29
AGL754 KARKHANIS Sarang Maitreya RO Asset Management 2007-04-16 2014-06-30
AGM210 LITTELL Christopher James RE Dealing in Securities 2003-04-01 2004-03-19
AGM210 LITTELL Christopher James RE Advising on Securities 2003-04-01 2005-05-25
AGM210 LITTELL Christopher James RE Advising on Futures Contracts 2003-04-01 2005-05-25
AGM210 LITTELL Christopher James RE Advising on Corporate Finance 2003-04-01 2004-03-19
AGM210 LITTELL Christopher James RE Asset Management 2003-04-01 2005-05-25
AOA755 CHEUNG Ling Chau 張令宙 RE Advising on Securities 2006-12-12 2008-05-23
AOA755 CHEUNG Ling Chau 張令宙 RE Advising on Futures Contracts 2006-12-12 2008-05-23
AOA755 CHEUNG Ling Chau 張令宙 RE Asset Management 2006-12-12 2008-05-23
ARE819 NG Shung Kai 吳崇佳 RE Advising on Securities 2008-07-11 2011-12-31
ARE819 NG Shung Kai 吳崇佳 RE Advising on Futures Contracts 2008-07-11 2011-12-31
ARE819 NG Shung Kai 吳崇佳 RE Asset Management 2008-07-11 2011-12-31
ARH647 WONG Ching Ping 王靖平 RE Advising on Securities 2008-08-25 2009-03-31
ARH647 WONG Ching Ping 王靖平 RE Advising on Futures Contracts 2008-08-25 2009-03-31
ARH647 WONG Ching Ping 王靖平 RE Asset Management 2008-08-25 2009-03-31
BBT264 RHODES Jordan James RE Advising on Securities 2013-09-23 2014-05-31
BBT264 RHODES Jordan James RE Advising on Futures Contracts 2013-09-23 2014-05-31
BBT264 RHODES Jordan James RE Asset Management 2013-09-23 2014-05-31

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