Po Kwan Tsea
謝寶君
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Po Kwan Tsea (謝寶君), a licensed Responsible Officer with CE reference AFT942. Currently licensed at 1 firm(s): uSmart Securities Limited. Active regulated activities: Type 6 — Advising on corporate finance. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| uSmart Securities Limited 盈立證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2025-10-16 | present |
| uSmart Securities Limited 盈立證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2025-09-22 | 2025-10-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-04 | 2019-07-29 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2017-10-04 | 2019-07-29 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-10-04 | 2019-07-29 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-07-18 | 2017-07-07 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-06-01 | 2014-04-12 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2007-06-01 | 2014-04-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2007-06-01 | 2014-04-12 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2007-06-01 | 2014-04-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2007-06-01 | 2014-04-12 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2007-06-01 | 2014-04-12 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2004-07-22 | 2006-01-03 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2004-03-08 | 2004-07-14 |