Wharton Investment Advisors Limited
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wharton Investment Advisors Limited ( ), a Hong Kong-based licensed corporation with CE reference ADW473. Current licensed staff on file: 0 (total recorded over time: 11).
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | present | 2004-03-22 |
| Type 4 — Advising on securities | present | 2015-02-09 |
| Type 5 — Advising on futures contracts | present | 2015-02-09 |
| Type 6 — Advising on corporate finance | present | 2004-03-22 |
| Type 9 — Asset management | present | 2015-02-09 |
Licensed staff (all-time) (11)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Sarang Maitreya Karkhanis | RO 4, 9 Rep 1, 4, 5, 6, 9 | Pre-2003 | 2014-06 |
| David Kenneth Post | RO 1, 4, 5, 9 | Pre-2003 | 2014-09 |
| Vanessa Jane Post | RO 1, 4, 5, 6, 9 | Pre-2003 | 2015-02 |
| Shane Vivian Julian Stuart | RO 4, 9 Rep 4, 9 | 2007-09 | 2009-03 |
| Ling Chau Cheung 張令宙 | Rep 4, 5, 9 | 2006-12 | 2008-05 |
| Wai Leung Lam 林偉亮 | Rep 1, 4, 5, 6, 9 | Pre-2003 | 2005-10 |
| Vivian Gi Yue Lee 李梓瑜 | Rep 4, 5, 9 | 2006-10 | 2014-09 |
| Christopher James Littell | Rep 1, 4, 5, 6, 9 | Pre-2003 | 2005-05 |
| Shung Kai Ng 吳崇佳 | Rep 4, 5, 9 | 2008-07 | 2011-12 |
| Jordan James Rhodes | Rep 4, 5, 9 | 2013-09 | 2014-05 |
| Ching Ping Wong 王靖平 | Rep 4, 5, 9 | 2008-08 | 2009-03 |
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