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OH Seung Joo

吳昇宙
CE ALJ848Licensed IndividualExecutive OfficerSFO licence active
Official SFC record

OH Seung Joo (CE number ALJ848) is an individual licensed by the Hong Kong SFC. First licensed on 2004-11-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (2)

CapacityCompany / Institution
Executive OfficerUBS AG
RepresentativeUBS Securities Hong Kong Limited

Licence Record (5)

2023-10-30 – present Current
UBS Securities Hong Kong Limited Rep
RA 6
2017-02-07 – 2023-10-15
Credit Suisse (Hong Kong) Limited RO
RA 1 RA 4 RA 6
2008-06-23 – 2017-02-07
Credit Suisse (Hong Kong) Limited Rep
RA 1 RA 4 RA 6
2004-11-01 – 2008-04-15
Lehman Brothers Asia Limited Rep
RA 1 RA 6
2004-11-01 – 2005-06-17
Lehman Brothers Securities Asia Limited Rep
RA 1

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ALJ848