Yuxi Du
杜玉曦
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yuxi Du (杜玉曦), a licensed Responsible Officer with CE reference AQD401. Currently licensed at 1 firm(s): Guolian Securities International Capital Co., Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guolian Securities International Capital Co., Limited 國聯證券國際金融有限公司 |
RO | Type 1 — Dealing in securities | 2024-06-11 | present |
| Guolian Securities International Capital Co., Limited 國聯證券國際金融有限公司 |
RO | Type 4 — Advising on securities | 2024-06-11 | present |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2022-06-21 | 2023-12-15 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2021-12-21 | 2023-12-15 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-08-30 | 2021-12-21 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
RO | Type 1 — Dealing in securities | 2020-02-05 | 2021-06-30 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2018-12-11 | 2020-02-05 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-11-01 | 2018-09-01 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-30 | 2013-10-31 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-11-13 | 2009-07-16 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-12-14 | 2008-10-24 |