Ricky Wai Kei Chow
周瑋琪
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ricky Wai Kei Chow (周瑋琪), a licensed Responsible Officer with CE reference ACG060. Currently licensed at 1 firm(s): Alpha Financial Group Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 30.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Alpha Financial Group Limited 首盛資本集團有限公司 |
RO | Type 1 — Dealing in securities | 2022-07-06 | present |
| Alpha Financial Group Limited 首盛資本集團有限公司 |
Rep | Type 1 — Dealing in securities | 2022-05-06 | 2022-07-06 |
| Alpha Financial Group Limited 首盛資本集團有限公司 |
RO | Type 1 — Dealing in securities | 2020-11-06 | 2021-09-30 |
| Alpha Financial Group Limited 首盛資本集團有限公司 |
Rep | Type 1 — Dealing in securities | 2020-09-15 | 2020-11-06 |
| Mainland Asset Management Limited 美聯匯鑫管理有限公司 |
RO | Type 4 — Advising on securities | 2019-09-03 | 2020-03-19 |
| Mainland Securities Limited 美聯證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-11-13 | 2020-03-19 |
| Sunfund Securities Limited 東皓證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-01-23 | 2018-09-03 |
| Ample Capital Limited 豐盛融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-06-04 | 2016-12-30 |
| Alpha Financial Group Limited 首盛資本集團有限公司 |
RO | Type 1 — Dealing in securities | 2009-06-04 | 2016-12-30 |
| Ample Capital Limited 豐盛融資有限公司 |
RO | Type 4 — Advising on securities | 2009-06-04 | 2016-12-30 |
| China Everbright Capital Limited 中國光大融資有限公司 |
RO | Type 1 — Dealing in securities | 2007-03-27 | 2009-03-23 |
| China Everbright Capital Limited 中國光大融資有限公司 |
RO | Type 4 — Advising on securities | 2007-03-27 | 2009-03-23 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2007-03-27 | 2009-03-23 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2006-10-23 | 2009-03-23 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-03-14 | 2006-10-23 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-03-14 | 2007-03-27 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-03-14 | 2009-03-23 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 1 — Dealing in securities | 2005-10-07 | 2007-03-27 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 4 — Advising on securities | 2005-10-07 | 2007-03-27 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-10-07 | 2009-03-23 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2004-08-04 | 2005-09-29 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-08-04 | 2005-09-29 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-07-21 | 2005-09-29 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-12-09 | 2004-07-06 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-12-09 | 2004-07-06 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-11-04 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-10-30 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-10-30 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-10-30 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-30 |