Tai Tong Lee
李棣棠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tai Tong Lee (李棣棠), a licensed Responsible Officer with CE reference ADZ578. Currently licensed at 2 firm(s): Pinestone Capital Asset Management Limited, Pinestone Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 18.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Pinestone Capital Asset Management Limited 鼎石資本資產管理有限公司 |
RO | Type 4 — Advising on securities | 2024-09-13 | present |
| Pinestone Capital Asset Management Limited 鼎石資本資產管理有限公司 |
RO | Type 9 — Asset management | 2024-09-13 | present |
| Pinestone Securities Limited 鼎石證券有限公司 |
RO | Type 1 — Dealing in securities | 2022-11-03 | present |
| Prior Securities Limited 昇悅證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-11-21 | 2022-06-22 |
| Prior Securities Limited 昇悅證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-09-28 | 2016-11-21 |
| SoFi Securities (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2015-12-29 | 2016-08-26 |
| SoFi Securities (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2015-12-23 | 2016-08-26 |
| SoFi Securities (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2015-02-09 | 2015-12-29 |
| Ewarton Securities Limited 穎翔證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-02-09 | 2015-01-30 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2011-02-06 |
| First Shanghai Futures Limited 第一上海期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2011-02-06 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-08-10 |
| First Shanghai Futures Limited 第一上海期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-08-10 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-08-10 |
| First Shanghai Futures Limited 第一上海期貨有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-09-05 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-09-02 |
| First Shanghai Futures Limited 第一上海期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-08-10 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-08-10 |