Wang Kwong Lee
李泓廣
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wang Kwong Lee (李泓廣), a licensed Responsible Officer with CE reference AFS914. Currently licensed at 1 firm(s): Iridium Capital Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Iridium Capital Limited 泓達資產管理有限公司 |
RO | Type 4 — Advising on securities | 2015-06-15 | present |
| Iridium Capital Limited 泓達資產管理有限公司 |
RO | Type 9 — Asset management | 2015-06-15 | present |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2013-06-20 | 2014-06-27 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-06-20 | 2014-06-27 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2013-06-20 | 2014-06-27 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 4 — Advising on securities | 2012-12-13 | 2013-06-20 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-06 | 2012-09-13 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2004-08-20 | 2008-09-23 |
| BNP Paribas Capital (Asia Pacific) Limited 法國巴黎資本(亞太)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-04-30 | 2004-08-16 |
| HSBC Securities (Asia) Limited | Rep | Type 4 — Advising on securities | present | 2004-01-15 |
| HSBC Securities (Asia) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-12-10 |
| HSBC Securities (Asia) Limited | Rep | Type 9 — Asset management | present | 2003-12-10 |