Tao Zhao
趙濤
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tao Zhao (趙濤), a licensed Responsible Officer with CE reference AZX096. Currently licensed at 1 firm(s): West Bull Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| West Bull Securities Limited 西牛證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-12-13 | present |
| West Bull Securities Limited 西牛證券有限公司 |
RO | Type 4 — Advising on securities | 2021-12-13 | present |
| West Bull Securities Limited 西牛證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-11-10 | 2021-12-13 |
| West Bull Securities Limited 西牛證券有限公司 |
Rep | Type 4 — Advising on securities | 2021-11-10 | 2021-12-13 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 4 — Advising on securities | 2020-11-26 | 2021-05-10 |
| SBI China Capital Hong Kong Securities Limited 軟庫中華香港證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2019-11-19 | 2021-05-10 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 4 — Advising on securities | 2018-12-11 | 2020-11-26 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 1 — Dealing in securities | 2018-04-11 | 2021-05-10 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-31 | 2018-04-11 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RO | Type 1 — Dealing in securities | 2016-11-22 | 2017-05-31 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
RO | Type 1 — Dealing in securities | 2016-11-22 | 2017-05-31 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2016-05-30 | 2016-11-22 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2016-05-30 | 2016-11-22 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-05-30 | 2017-05-31 |
| Oriental Patron Securities Limited 東英亞洲證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-12-31 | 2016-03-29 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-07-18 | 2014-12-13 |
| Oriental Patron Securities Limited 東英亞洲證券有限公司 |
Rep | Type 1 — Dealing in securities | 2012-07-24 | 2014-06-14 |