These are the licence-holders that were found for SFC licence institution AEE667 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 |
|---|---|---|---|---|---|---|
| AAC767 | SHUM Kai Chun | 岑啟臻 | RE | Dealing in Securities | 2003-04-01 | 2005-01-19 |
| AAC767 | SHUM Kai Chun | 岑啟臻 | RE | Advising on Securities | 2003-04-01 | 2005-01-19 |
| AAC767 | SHUM Kai Chun | 岑啟臻 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-19 |
| AAC767 | SHUM Kai Chun | 岑啟臻 | RE | Asset Management | 2003-04-01 | 2005-01-19 |
| ABF913 | MA Wai Shun, Patrick | 馬偉信 | RE | Asset Management | 2008-01-17 | 2008-12-31 |
| ABM119 | HO Mei | 何微 | RE | Dealing in Securities | 2003-04-01 | 2005-01-27 |
| ABM119 | HO Mei | 何微 | RE | Advising on Securities | 2003-04-01 | 2005-01-27 |
| ABM119 | HO Mei | 何微 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-27 |
| ABM119 | HO Mei | 何微 | RE | Asset Management | 2003-04-01 | 2005-01-27 |
| ABN882 | LEUNG Yiu Man | 梁耀文 | RE | Advising on Securities | 2003-04-01 | 2005-01-19 |
| ABN882 | LEUNG Yiu Man | 梁耀文 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-19 |
| ABN882 | LEUNG Yiu Man | 梁耀文 | RE | Asset Management | 2003-04-01 | 2005-01-19 |
| ACC119 | LEE Wai Shun, Matthew | 李維信 | RE | Asset Management | 2007-08-20 | 2008-04-24 |
| ACD402 | YAO Andrew E | 姚恩 | RE | Dealing in Securities | 2003-04-01 | 2003-07-05 |
| ACD402 | YAO Andrew E | 姚恩 | RE | Advising on Securities | 2003-04-01 | 2003-07-05 |
| ACD402 | YAO Andrew E | 姚恩 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-07-05 |
| ACD402 | YAO Andrew E | 姚恩 | RE | Asset Management | 2003-04-01 | 2003-07-05 |
| ACK859 | QIU Jin | 邱勁 | RE | Advising on Securities | 2003-04-01 | 2005-01-19 |
| ACK859 | QIU Jin | 邱勁 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-19 |
| ACK859 | QIU Jin | 邱勁 | RE | Asset Management | 2003-04-01 | 2005-01-19 |
| ACR404 | MASSEY LI Susan Hong | 李弘 | RO | Dealing in Securities | 2003-04-01 | 2008-12-31 |
| ACR404 | MASSEY LI Susan Hong | 李弘 | RO | Advising on Securities | 2003-04-01 | 2008-12-31 |
| ACR404 | MASSEY LI Susan Hong | 李弘 | RO | Advising on Corporate Finance | 2003-04-01 | 2008-12-31 |
| ACR404 | MASSEY LI Susan Hong | 李弘 | RO | Asset Management | 2003-04-01 | 2005-03-31 |
| ADJ958 | SHEN Xia | 沈俠 | RE | Advising on Securities | 2003-04-01 | 2005-01-27 |
| ADJ958 | SHEN Xia | 沈俠 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-09-02 |
| ADJ958 | SHEN Xia | 沈俠 | RE | Asset Management | 2003-04-01 | 2005-01-27 |
| ADT335 | XU Xiaonian | 許小年 | RE | Dealing in Securities | 2003-04-01 | 2004-10-14 |
| ADT335 | XU Xiaonian | 許小年 | RE | Advising on Securities | 2003-04-01 | 2004-10-14 |
| ADT335 | XU Xiaonian | 許小年 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-10-14 |
| ADT335 | XU Xiaonian | 許小年 | RE | Asset Management | 2003-04-01 | 2004-10-14 |
| AED359 | TENG William | RO | Dealing in Securities | 2003-04-01 | 2008-12-31 | |
| AED359 | TENG William | RO | Advising on Securities | 2003-04-01 | 2008-12-31 | |
| AED359 | TENG William | RO | Advising on Corporate Finance | 2003-04-01 | 2008-12-31 | |
| AED359 | TENG William | RO | Asset Management | 2003-04-01 | 2005-03-31 | |
| AEE722 | LOW Yee Hsiang | 劉毅祥 | RE | Asset Management | 2007-11-15 | 2008-12-31 |
| AEF130 | LI Gang | 李剛 | RO | Dealing in Securities | 2003-04-01 | 2006-09-30 |
| AEF130 | LI Gang | 李剛 | RO | Advising on Securities | 2003-04-01 | 2005-03-31 |
| AEF130 | LI Gang | 李剛 | RO | Advising on Corporate Finance | 2003-04-01 | 2005-03-31 |
| AEF130 | LI Gang | 李剛 | RO | Asset Management | 2003-04-01 | 2006-09-30 |
| AFC501 | ZHU Yunlai | 朱云來 | RO | Dealing in Securities | 2003-04-01 | 2008-12-31 |
| AFC501 | ZHU Yunlai | 朱云來 | RO | Advising on Securities | 2003-04-01 | 2008-12-31 |
| AFC501 | ZHU Yunlai | 朱云來 | RO | Advising on Corporate Finance | 2003-04-01 | 2008-12-31 |
| AFC501 | ZHU Yunlai | 朱云來 | RO | Asset Management | 2003-04-01 | 2005-04-04 |
| AFM923 | CHEN Shiyou | 陳十游 | RE | Advising on Securities | 2003-05-12 | 2005-02-03 |
| AFM923 | CHEN Shiyou | 陳十游 | RE | Advising on Securities | 2007-05-18 | 2008-12-05 |
| AFM923 | CHEN Shiyou | 陳十游 | RE | Advising on Corporate Finance | 2003-05-12 | 2008-12-05 |
| AFP100 | ZHANG Lanlan | 張嵐嵐 | RE | Advising on Securities | 2003-04-01 | 2005-01-19 |
| AFP100 | ZHANG Lanlan | 張嵐嵐 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-19 |
| AFP100 | ZHANG Lanlan | 張嵐嵐 | RE | Asset Management | 2003-04-01 | 2005-01-19 |
| AFS560 | CHEN Hong Chu, Craig | 陳宏初 | RE | Asset Management | 2006-05-02 | 2007-06-29 |
| AFT550 | HUANG Xiaoheng | 黃曉衡 | RO | Advising on Securities | 2003-04-01 | 2005-03-31 |
| AFT550 | HUANG Xiaoheng | 黃曉衡 | RO | Advising on Corporate Finance | 2003-04-01 | 2008-08-11 |
| AGD038 | CAO Shaoshan | 曹少山 | RE | Advising on Corporate Finance | 2006-08-23 | 2008-10-16 |
| AGI501 | YUE Ai Min | 岳愛民 | RE | Dealing in Securities | 2003-04-01 | 2004-06-30 |
| AGI501 | YUE Ai Min | 岳愛民 | RE | Advising on Securities | 2003-04-01 | 2004-06-30 |
| AGI501 | YUE Ai Min | 岳愛民 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-06-30 |
| AGI501 | YUE Ai Min | 岳愛民 | RE | Asset Management | 2003-04-01 | 2004-06-30 |
| AGJ951 | WANG Lingling | 王玲玲 | RE | Advising on Securities | 2003-04-01 | 2004-05-06 |
| AGJ951 | WANG Lingling | 王玲玲 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-05-06 |
| AGJ951 | WANG Lingling | 王玲玲 | RE | Asset Management | 2003-04-01 | 2004-05-06 |
| AGL097 | GUAN Bin | 關濱 | RE | Advising on Securities | 2003-04-01 | 2003-08-27 |
| AGL097 | GUAN Bin | 關濱 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-08-27 |
| AGL097 | GUAN Bin | 關濱 | RE | Asset Management | 2003-04-01 | 2003-08-25 |
| AGL914 | XIA Tian | 夏天 | RE | Advising on Corporate Finance | 2007-06-20 | 2008-10-16 |
| AGM502 | WANG Wei | 王瑋 | RE | Dealing in Securities | 2003-04-01 | 2004-07-09 |
| AGM502 | WANG Wei | 王瑋 | RE | Advising on Securities | 2003-04-01 | 2004-07-09 |
| AGM502 | WANG Wei | 王瑋 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-07-09 |
| AGM502 | WANG Wei | 王瑋 | RE | Asset Management | 2003-04-01 | 2004-07-09 |
| AGN659 | HUANG Zhaohui | 黃朝暉 | RE | Advising on Securities | 2003-04-01 | 2005-01-27 |
| AGN659 | HUANG Zhaohui | 黃朝暉 | RE | Advising on Corporate Finance | 2003-04-01 | 2007-04-03 |
| AGN659 | HUANG Zhaohui | 黃朝暉 | RO | Advising on Corporate Finance | 2007-04-03 | 2008-12-31 |
| AGN659 | HUANG Zhaohui | 黃朝暉 | RE | Asset Management | 2003-04-01 | 2005-01-27 |
| AGO912 | ZENG Xianghua | 曾翔華 | RE | Dealing in Securities | 2003-04-01 | 2003-04-28 |
| AGO912 | ZENG Xianghua | 曾翔華 | RE | Advising on Securities | 2003-04-01 | 2003-04-28 |
| AGO912 | ZENG Xianghua | 曾翔華 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-04-28 |
| AGO912 | ZENG Xianghua | 曾翔華 | RE | Asset Management | 2003-04-01 | 2003-04-28 |
| AGO919 | LI Jian | 李堅 | RE | Dealing in Securities | 2003-04-01 | 2006-07-13 |
| AGO919 | LI Jian | 李堅 | RE | Advising on Securities | 2003-04-01 | 2005-01-27 |
| AGO919 | LI Jian | 李堅 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-27 |
| AGO919 | LI Jian | 李堅 | RE | Asset Management | 2003-04-01 | 2005-01-27 |
| AGP733 | WANG Jinjin | 王進璡 | RE | Advising on Securities | 2003-04-01 | 2004-03-02 |
| AGP733 | WANG Jinjin | 王進璡 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-03-02 |
| AGP733 | WANG Jinjin | 王進璡 | RE | Asset Management | 2003-04-01 | 2004-03-01 |
| AGP744 | FAN Yanjin | 范艷瑾 | RE | Advising on Securities | 2003-04-01 | 2005-01-19 |
| AGP744 | FAN Yanjin | 范艷瑾 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-19 |
| AGP744 | FAN Yanjin | 范艷瑾 | RE | Asset Management | 2003-04-01 | 2005-01-19 |
| AGQ059 | LI Yuan | 李源 | RE | Advising on Securities | 2003-04-01 | 2005-01-19 |
| AGQ059 | LI Yuan | 李源 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-01-19 |
| AGQ059 | LI Yuan | 李源 | RE | Asset Management | 2003-04-01 | 2005-01-19 |
| AGQ062 | CHEN Qing | 陳青 | RE | Advising on Securities | 2003-04-01 | 2003-09-30 |
| AGQ062 | CHEN Qing | 陳青 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-30 |
| AGQ062 | CHEN Qing | 陳青 | RE | Asset Management | 2003-04-01 | 2003-09-30 |
| AGV345 | QI Kezhan | 戚克栴 | RE | Dealing in Securities | 2003-04-01 | 2005-01-27 |
| AGV345 | QI Kezhan | 戚克栴 | RE | Advising on Securities | 2003-04-01 | 2005-01-27 |
| AGV345 | QI Kezhan | 戚克栴 | RE | Advising on Corporate Finance | 2003-04-01 | 2007-03-30 |
| AGV345 | QI Kezhan | 戚克栴 | RO | Advising on Corporate Finance | 2007-03-30 | 2008-12-31 |
| AGV345 | QI Kezhan | 戚克栴 | RE | Asset Management | 2003-04-01 | 2005-01-27 |
| AGY675 | CHEUNG Wai Yin | 張緯賢 | RE | Asset Management | 2007-08-10 | 2008-12-31 |
| AGZ997 | YANG Changbo | 楊昌伯 | RO | Advising on Corporate Finance | 2006-06-22 | 2006-10-07 |
| AHC752 | XIAO Qian | 肖倩 | RE | Advising on Securities | 2003-04-01 | 2004-07-11 |
| AHC752 | XIAO Qian | 肖倩 | RE | Advising on Corporate Finance | 2003-04-01 | 2004-07-11 |
| AHC752 | XIAO Qian | 肖倩 | RE | Asset Management | 2003-04-01 | 2004-07-11 |
| AHW168 | LIN Shoukang | 林寿康 | RE | Dealing in Securities | 2003-04-01 | 2003-05-05 |
| AHW168 | LIN Shoukang | 林寿康 | RE | Dealing in Securities | 2005-03-22 | 2008-11-23 |
| AHW168 | LIN Shoukang | 林寿康 | RE | Advising on Securities | 2003-04-01 | 2003-05-05 |
| AHW168 | LIN Shoukang | 林寿康 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-05-05 |
| AHW168 | LIN Shoukang | 林寿康 | RE | Asset Management | 2003-04-01 | 2003-05-05 |
| AIN730 | ZHAO Yan | 趙彥 | RE | Advising on Securities | 2003-04-01 | 2003-09-13 |
| AIN730 | ZHAO Yan | 趙彥 | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-13 |
| AIN730 | ZHAO Yan | 趙彥 | RE | Asset Management | 2003-04-01 | 2003-09-13 |
| AIU783 | GE Xuehui | 葛雪暉 | RE | Dealing in Securities | 2003-06-07 | 2004-01-21 |
| AIU783 | GE Xuehui | 葛雪暉 | RE | Dealing in Securities | 2004-07-06 | 2006-04-01 |
| AIU783 | GE Xuehui | 葛雪暉 | RE | Advising on Securities | 2003-06-07 | 2004-01-21 |
| AIU783 | GE Xuehui | 葛雪暉 | RE | Advising on Corporate Finance | 2003-06-07 | 2004-01-21 |
| AJC170 | CONG Hui | RE | Dealing in Securities | 2003-07-24 | 2008-12-31 | |
| AJD078 | DING Wei | 丁瑋 | RE | Advising on Corporate Finance | 2005-06-21 | 2008-12-31 |
| AJD694 | ZHONG Yingjie | 鍾穎潔 | RE | Advising on Corporate Finance | 2003-09-02 | 2003-12-01 |
| AJD695 | FANG Baorong | 方宝荣 | RE | Advising on Corporate Finance | 2003-09-02 | 2003-12-01 |
| AJD695 | FANG Baorong | 方宝荣 | RE | Advising on Corporate Finance | 2005-02-01 | 2008-12-31 |
| AJD696 | LIU Jingsheng | 劉京生 | RE | Advising on Corporate Finance | 2003-09-02 | 2003-12-01 |
| AJD696 | LIU Jingsheng | 劉京生 | RE | Advising on Corporate Finance | 2005-02-04 | 2008-12-31 |
| AJD981 | CHEN Raymond Lei | 陳雷 | RE | Asset Management | 2003-10-27 | 2004-08-31 |
| AJD983 | LING Jie | 凌洁 | RE | Asset Management | 2003-10-27 | 2007-03-05 |
| AJD985 | ZHU Yong | 朱勇 | RO | Asset Management | 2004-02-03 | 2008-12-31 |
| AJF991 | CHENG Qiang | 程強 | RE | Dealing in Securities | 2003-11-11 | 2008-11-06 |
| AJG523 | LIANG Guozhong | 梁国忠 | RE | Advising on Securities | 2007-05-18 | 2008-12-01 |
| AJG523 | LIANG Guozhong | 梁国忠 | RE | Advising on Corporate Finance | 2004-10-04 | 2008-12-01 |
| AJG538 | YANG Yuying | 楊毓莹 | RE | Advising on Corporate Finance | 2004-10-19 | 2008-12-31 |
| AJG541 | WANG Yang | 汪洋 | RE | Advising on Corporate Finance | 2005-11-09 | 2006-04-14 |
| AKI972 | XU Yicheng | 徐翌成 | RE | Advising on Corporate Finance | 2006-06-16 | 2008-10-16 |
| AKO861 | JIANG Guorong | 蔣国荣 | RE | Dealing in Securities | 2004-05-12 | 2008-12-31 |
| ALD640 | GAO Qing | 高青 | RE | Advising on Corporate Finance | 2004-08-31 | 2008-10-16 |
| ALD646 | TSUI Lik | 徐力 | RE | Advising on Corporate Finance | 2004-08-26 | 2008-10-16 |
| ALD652 | WANG Shuguang | 王曙光 | RE | Advising on Corporate Finance | 2004-08-26 | 2008-10-16 |
| ALD654 | WANG Lei | 王雷 | RE | Advising on Corporate Finance | 2004-08-31 | 2004-09-15 |
| ALG452 | WEN Yuan | 文渊 | RE | Advising on Corporate Finance | 2004-10-04 | 2008-12-31 |
| ALG453 | ZHANG Xiaoming | 章肖明 | RE | Advising on Corporate Finance | 2004-10-08 | 2008-10-16 |
| ALG463 | LU Yin | 陸垠 | RE | Advising on Corporate Finance | 2004-10-04 | 2008-10-16 |
| ALG491 | HUANG Chenli | 黃辰立 | RE | Advising on Corporate Finance | 2004-10-04 | 2006-04-24 |
| ALG492 | GUI Zhaoyu | 桂昭宇 | RE | Advising on Corporate Finance | 2004-10-08 | 2006-06-01 |
| ALG502 | XIANG Siying | 項思英 | RE | Advising on Securities | 2007-05-18 | 2008-12-01 |
| ALG502 | XIANG Siying | 項思英 | RE | Advising on Corporate Finance | 2004-10-08 | 2008-12-01 |
| ALG504 | HUANG Guobin | 黃國濱 | RE | Advising on Corporate Finance | 2004-10-05 | 2008-12-31 |
| ALG506 | SHAN Junbao | 單俊葆 | RE | Advising on Corporate Finance | 2004-10-08 | 2008-12-31 |
| ALG507 | GAO Haiming | 高海明 | RE | Advising on Corporate Finance | 2004-10-05 | 2008-10-16 |
| ALI450 | ZHANG Ling | 張凌 | RE | Advising on Corporate Finance | 2004-10-19 | 2007-04-30 |
| ALI470 | SONG Yan | 宋艷 | RE | Advising on Corporate Finance | 2004-10-19 | 2005-09-08 |
| ALI477 | YAO Lei | 姚磊 | RE | Advising on Corporate Finance | 2004-10-19 | 2008-12-31 |
| ALI478 | LI Hanyuan | 李翰园 | RE | Asset Management | 2004-10-19 | 2007-08-31 |
| ALI478 | LI Hanyuan | 李翰园 | RO | Asset Management | 2007-08-31 | 2008-12-31 |
| ALI693 | MA Guodong | 馬國棟 | RE | Advising on Corporate Finance | 2007-02-15 | 2008-10-16 |
| ALJ854 | YANG Ling | 楊玲 | RE | Advising on Corporate Finance | 2004-11-04 | 2007-04-20 |
| ALK162 | ZHANG Chi | 張弛 | RE | Advising on Corporate Finance | 2004-11-10 | 2005-08-02 |
| ALP482 | CHING Kam Fung, Tony | 程錦豐 | RE | Asset Management | 2006-07-04 | 2008-12-31 |
| ALR018 | WANG Zilong | 王子龙 | RE | Advising on Corporate Finance | 2005-02-01 | 2008-10-16 |
| ALR021 | LIU Xiaoshi | 劉小詩 | RE | Advising on Corporate Finance | 2005-02-01 | 2008-12-31 |
| ALR025 | YANG Yue | 楊悅 | RE | Advising on Corporate Finance | 2005-02-01 | 2008-12-31 |
| ALR027 | LONG Liang | 龙亮 | RE | Advising on Corporate Finance | 2005-02-01 | 2008-12-31 |
| ALR028 | SUN Nan | 孫男 | RE | Advising on Corporate Finance | 2005-02-01 | 2008-12-31 |
| ALR029 | LU Kai | 盧凱 | RE | Advising on Corporate Finance | 2005-02-01 | 2008-12-31 |
| ALU934 | SHI Qi | 施琦 | RE | Dealing in Securities | 2005-03-22 | 2008-12-31 |
| ALV269 | ZHAO Min | 趙民 | RE | Advising on Corporate Finance | 2005-04-08 | 2008-10-16 |
| ALV326 | TU Yanhui | 涂艷輝 | RE | Advising on Corporate Finance | 2005-03-31 | 2006-02-15 |
| ALV328 | SANG Jie | 桑潔 | RE | Advising on Corporate Finance | 2005-03-31 | 2005-06-30 |
| ALV329 | PAN Min | 潘旻 | RE | Advising on Corporate Finance | 2005-03-31 | 2006-04-03 |
| ALV331 | CHEN Wan | 陳宛 | RE | Advising on Corporate Finance | 2005-03-31 | 2008-10-16 |
| ALW164 | WU Bo | 吳波 | RE | Advising on Corporate Finance | 2005-04-04 | 2008-12-31 |
| ALW230 | SUN Jing | 孫菁 | RE | Dealing in Securities | 2005-04-01 | 2008-12-31 |
| ALZ290 | ZHAO Yan | 趙彥 | RE | Dealing in Securities | 2005-05-10 | 2007-09-01 |
| AMF324 | YU Zhong | 余忠 | RE | Asset Management | 2005-07-12 | 2008-12-31 |
| AMI809 | WANG Sheng | 王晟 | RE | Advising on Corporate Finance | 2005-08-16 | 2008-10-16 |
| AMJ772 | JIANG Yong | 江勇 | RE | Dealing in Securities | 2007-03-01 | 2008-12-31 |
| AMJ772 | JIANG Yong | 江勇 | RE | Advising on Corporate Finance | 2005-08-23 | 2007-02-14 |
| AMJ786 | WEI Hao | 魏昊 | RE | Asset Management | 2007-01-18 | 2008-12-31 |
| AMJ853 | BEI Duoguang | 貝多广 | RE | Advising on Corporate Finance | 2005-08-25 | 2008-12-31 |
| AMN664 | ZHANG Feng | 張峰 | RE | Dealing in Securities | 2007-06-11 | 2008-12-31 |
| AMO369 | HUANG Wan | 黃婉 | RE | Advising on Corporate Finance | 2005-10-12 | 2007-08-19 |
| AMO372 | LIAN Lian | 連漣 | RE | Advising on Corporate Finance | 2005-10-19 | 2006-08-13 |
| AMQ647 | WANG Dong | 王东 | RE | Advising on Corporate Finance | 2005-11-01 | 2008-10-16 |
| AND899 | YAP Chin Loong | 葉晉榮 | RE | Advising on Corporate Finance | 2007-05-16 | 2008-10-16 |
| ANH014 | ZHANG Qing | 張清 | RE | Advising on Corporate Finance | 2006-04-12 | 2008-12-31 |
| ANH025 | LIANG Ying | 梁熒 | RE | Advising on Corporate Finance | 2006-04-12 | 2008-10-16 |
| ANH044 | QI Tingting | 戚婷婷 | RE | Advising on Corporate Finance | 2006-04-12 | 2008-12-31 |
| ANH046 | WANG Jianyang | 王建陽 | RE | Advising on Corporate Finance | 2006-04-12 | 2008-10-16 |
| ANH047 | DUAN Xiaodong | 段晓東 | RE | Advising on Corporate Finance | 2006-04-12 | 2008-12-31 |
| ANI730 | HUANG Jack Yan Wen | RE | Asset Management | 2007-11-26 | 2008-12-31 | |
| ANM130 | ZHANG Lu | 張露 | RE | Advising on Corporate Finance | 2006-06-08 | 2008-12-31 |
| ANM194 | KOK Tung Wa, Cathy | 郝冬樺 | RE | Asset Management | 2006-07-13 | 2008-12-31 |
| ANP381 | CHEN Jie | 陳洁 | RE | Advising on Corporate Finance | 2006-06-28 | 2008-10-16 |
| ANR973 | XU Huifen | 徐慧芬 | RE | Advising on Corporate Finance | 2006-08-08 | 2008-12-31 |
| ANS227 | WANG Weigang | 王偉剛 | RE | Advising on Corporate Finance | 2006-08-04 | 2007-10-26 |
| ANT491 | QIN Yuehong | 秦跃紅 | RE | Advising on Corporate Finance | 2006-08-08 | 2008-10-16 |
| ANU818 | CHEN Bin | 陳鑌 | RE | Advising on Corporate Finance | 2006-08-31 | 2008-10-16 |
| ANU825 | LI Xing | 李星 | RE | Advising on Corporate Finance | 2006-08-22 | 2006-11-01 |
| ANU833 | ZOU Yan | 鄒炎 | RE | Advising on Corporate Finance | 2006-08-31 | 2008-12-31 |
| ANV103 | XU Hu | 徐虎 | RE | Advising on Corporate Finance | 2006-08-29 | 2008-10-16 |
| ANV107 | LIANG Min | 梁敏 | RE | Advising on Corporate Finance | 2006-08-29 | 2007-10-26 |
| ANV109 | ZHU Chao | 朱超 | RE | Advising on Corporate Finance | 2006-08-29 | 2008-12-31 |
| ANX441 | LI Xinsong | 李新松 | RO | Asset Management | 2006-09-29 | 2008-12-31 |
| AOB809 | DING Min | 丁敏 | RE | Advising on Corporate Finance | 2006-11-03 | 2008-10-16 |
| AOI990 | LIN Longhua | 林隆华 | RE | Advising on Corporate Finance | 2007-01-08 | 2008-12-31 |
| AOI993 | ZHU Feng | 朱峰 | RE | Advising on Corporate Finance | 2007-01-02 | 2008-12-31 |
| AOI998 | CHEN Yin | 陳垠 | RE | Advising on Corporate Finance | 2006-12-29 | 2007-05-31 |
| AOJ001 | SHI Fangming | 施方明 | RE | Advising on Corporate Finance | 2006-12-29 | 2008-10-16 |
| AOJ004 | LI Donghui | 李冬卉 | RE | Advising on Corporate Finance | 2006-12-29 | 2008-12-31 |
| AOJ006 | WU Xing | 伍星 | RE | Advising on Corporate Finance | 2006-12-29 | 2008-10-16 |
| AOL182 | WANG Wenhui | 王文暉 | RE | Asset Management | 2007-01-24 | 2007-09-13 |
| AOL182 | WANG Wenhui | 王文暉 | RE | Asset Management | 2008-01-25 | 2008-12-31 |
| AOM603 | WANG Xiao | 王霄 | RE | Advising on Corporate Finance | 2007-06-14 | 2008-10-16 |
| AOU035 | CHEN Ye | 陳曄 | RE | Advising on Corporate Finance | 2007-04-10 | 2008-12-31 |
| AOU125 | WENG Yinuo | 翁怡諾 | RE | Advising on Securities | 2007-04-04 | 2008-12-01 |
| AOU776 | GE Xiaojun | 葛晓軍 | RE | Advising on Securities | 2007-05-08 | 2008-12-01 |
| AOU797 | TAN Hanhao | 譚汉豪 | RE | Dealing in Securities | 2007-04-20 | 2008-12-31 |
| AOZ130 | YANG Sulan | 楊素蘭 | RE | Advising on Corporate Finance | 2007-05-30 | 2008-12-31 |
| APC520 | LIU Zhao | 劉釗 | RE | Advising on Securities | 2007-06-20 | 2008-12-01 |
| APC522 | LI Peng | 李鵬 | RE | Advising on Corporate Finance | 2007-06-22 | 2008-12-31 |
| APF354 | ZHANG Linfeng | 章林峰 | RE | Advising on Corporate Finance | 2008-03-20 | 2008-10-16 |
| APH869 | YING Kejing | 應可靖 | RE | Advising on Corporate Finance | 2007-08-07 | 2008-10-16 |
| APJ216 | ZHOU Xuetao | 周學韜 | RE | Dealing in Securities | 2007-08-06 | 2008-12-31 |
| APK208 | GU Kan | 顧侃 | RE | Dealing in Securities | 2007-08-14 | 2008-12-31 |
| APL132 | LUO Heng | 羅衡 | RE | Advising on Corporate Finance | 2007-08-21 | 2008-12-31 |
| APL751 | SONG Li | 宋黎 | RE | Dealing in Securities | 2007-08-27 | 2008-12-31 |
| APY939 | DUAN Aimin | 段愛民 | RE | Dealing in Securities | 2007-11-08 | 2008-12-31 |
| APZ630 | DENG Jun | 鄧駿 | RE | Asset Management | 2007-11-15 | 2008-12-31 |
| AQA684 | TAN Shuo | 譚碩 | RE | Dealing in Securities | 2007-11-21 | 2008-12-31 |
| AQC338 | JIANG Xuetao | 姜雪濤 | RE | Dealing in Securities | 2007-11-29 | 2008-12-31 |
| AQE818 | SO Hon Wai, Christopher | 蘇漢威 | RE | Asset Management | 2007-12-24 | 2008-12-31 |
| AQE820 | XU Xiang | 許翔 | RE | Asset Management | 2007-12-24 | 2008-11-25 |
| AQJ768 | YU Jinkai | 于津凱 | RE | Asset Management | 2008-01-31 | 2008-12-31 |
| AQQ490 | BI Weiwei | 畢偉偉 | RE | Advising on Corporate Finance | 2008-03-12 | 2008-10-16 |
| AQQ495 | GAO Feng | 高峰 | RE | Advising on Corporate Finance | 2008-03-12 | 2008-12-31 |
| AQQ496 | DING Yihua | 丁懿華 | RE | Advising on Corporate Finance | 2008-03-12 | 2008-12-31 |
| AQQ498 | TIAN Xiaoan | 田晓安 | RE | Advising on Corporate Finance | 2008-03-10 | 2008-10-16 |
| AQQ634 | CHEN Xu | 陳旭 | RE | Advising on Corporate Finance | 2008-03-13 | 2008-10-20 |
| AQQ656 | ZHOU Jincheng | 周金城 | RE | Advising on Corporate Finance | 2008-03-13 | 2008-12-31 |
| AQQ661 | ZENG Luhai | 曾鹿海 | RE | Advising on Corporate Finance | 2008-03-13 | 2008-12-31 |
| AQQ831 | GU Dechun | 顧德純 | RE | Advising on Corporate Finance | 2008-03-14 | 2008-12-16 |
| AQT277 | LAU Suk Ching | 劉淑貞 | RE | Advising on Corporate Finance | 2008-04-03 | 2008-12-31 |
| AQV691 | KANG Hanzhen | 康翰震 | RE | Advising on Corporate Finance | 2008-04-16 | 2008-10-20 |
| ARJ432 | CHEN Liangyun | 陳良芸 | RE | Advising on Corporate Finance | 2008-07-24 | 2008-12-31 |
| ARJ440 | DU Yiqing | 杜褘清 | RE | Advising on Corporate Finance | 2008-07-25 | 2008-12-31 |
| ARL066 | LUO Yi | 羅奕 | RE | Advising on Corporate Finance | 2008-07-30 | 2008-12-31 |
| ARN401 | KANG Zhaoyang | 康昭阳 | RE | Advising on Corporate Finance | 2008-08-18 | 2008-12-31 |
| ARN615 | ZHOU Zejian | 周泽剑 | RE | Advising on Corporate Finance | 2008-08-20 | 2008-10-16 |
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