Howard Lok Him Wong
王諾謙
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Howard Lok Him Wong (王諾謙), a licensed Responsible Officer with CE reference AMX945. Currently licensed at 1 firm(s): SR Wealth Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 20.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SR Wealth Securities Limited 中富證券有限公司 |
RO | Type 9 — Asset management | 2022-05-20 | present |
| SR Wealth Securities Limited 中富證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2021-11-18 | present |
| SR Wealth Securities Limited 中富證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-11-19 | present |
| SR Wealth Securities Limited 中富證券有限公司 |
RO | Type 4 — Advising on securities | 2019-11-19 | present |
| SR Wealth Securities Limited 中富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-11-12 | 2019-11-19 |
| SR Wealth Securities Limited 中富證券有限公司 |
Rep | Type 4 — Advising on securities | 2019-11-12 | 2019-11-19 |
| Major Asset Management Limited 美捷資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2018-08-29 | 2019-10-22 |
| Major Asset Management Limited 美捷資產管理有限公司 |
RO | Type 4 — Advising on securities | 2018-08-29 | 2019-10-22 |
| Major Asset Management Limited 美捷資產管理有限公司 |
RO | Type 9 — Asset management | 2018-08-29 | 2019-10-22 |
| Midas Securities Limited 金源證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-02-21 | 2018-07-27 |
| Midas Securities Limited 金源證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2017-02-21 | 2018-07-27 |
| Midas Securities Limited 金源證券有限公司 |
RO | Type 4 — Advising on securities | 2017-02-21 | 2018-07-27 |
| Midas Securities Limited 金源證券有限公司 |
RO | Type 9 — Asset management | 2017-02-21 | 2018-07-27 |
| Futu Securities International (Hong Kong) Limited 富途證券國際(香港)有限公司 |
RO | Type 9 — Asset management | 2015-07-24 | 2016-05-03 |
| Futu Securities International (Hong Kong) Limited 富途證券國際(香港)有限公司 |
RO | Type 4 — Advising on securities | 2015-06-02 | 2016-05-03 |
| Futu Securities International (Hong Kong) Limited 富途證券國際(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2013-07-10 | 2016-05-03 |
| Futu Securities International (Hong Kong) Limited 富途證券國際(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-10-04 | 2016-05-03 |
| Goldin Equities Limited 高銀(證券)有限公司 |
RO | Type 1 — Dealing in securities | 2011-09-01 | 2012-09-27 |
| Goldin Equities Limited 高銀(證券)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-02-03 | 2012-09-27 |
| Goldin Equities Limited 高銀(證券)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-07-27 | 2011-09-01 |