Steven Sheung Chi Wu
胡尚智
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steven Sheung Chi Wu (胡尚智), a licensed Representative with CE reference APV971. Currently licensed at 1 firm(s): Phillip Securities (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 24.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2024-06-06 | present |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2024-06-06 | present |
| Dakin Capital Limited 德健融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2024-01-18 | 2024-02-15 |
| Taihe Securities (Hong Kong) Limited 泰合證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2023-04-06 | 2023-09-30 |
| Taihe Securities (Hong Kong) Limited 泰合證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2023-04-06 | 2023-09-30 |
| Zijing Capital Limited 紫荊融資有限公司 |
RO | Type 1 — Dealing in securities | 2022-02-10 | 2022-06-28 |
| Zijing Capital Limited 紫荊融資有限公司 |
Rep | Type 1 — Dealing in securities | 2021-12-02 | 2022-02-10 |
| Zijing Capital Limited 紫荊融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-12-02 | 2022-06-28 |
| Zijing Capital Limited 紫荊融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-09-28 | 2021-12-02 |
| Huabang Corporate Finance Limited 華邦融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-05-17 | 2021-07-20 |
| Wanhai Securities (HK) Limited 萬海證券（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2020-11-13 | 2021-05-10 |
| South China Capital Limited 南華融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-04-09 | 2020-06-11 |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 — Dealing in securities | 2017-11-23 | 2020-06-11 |
| South China Capital Limited 南華融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-11-23 | 2018-04-09 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2015-10-16 | 2017-10-13 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
Rep | Type 1 — Dealing in securities | 2015-07-23 | 2017-10-13 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-07-23 | 2015-10-16 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-05 | 2015-07-14 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-06-05 | 2015-07-14 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-06-05 | 2015-07-14 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-01-04 | 2014-06-01 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-07-14 | 2011-11-26 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-10-15 | 2011-06-13 |
| Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-11-12 | 2009-09-11 |