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WONG Lok Him, Howard

王諾謙
CE AMX945Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

WONG Lok Him, Howard (CE number AMX945) is an individual licensed by the Hong Kong SFC. First licensed on 2006-07-27. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerSR Wealth Securities Limited
中富證券有限公司

Licence Record (7)

2019-11-19 – present Current
SR Wealth Securities Limited RO
RA 1 RA 2 RA 4 RA 9
2019-11-12 – 2019-11-19
SR Wealth Securities Limited Rep
RA 1 RA 4
2018-08-29 – 2019-10-22
Major Asset Management Limited RO
RA 1 RA 4 RA 9
2017-02-21 – 2018-07-27
Midas Securities Limited RO
RA 1 RA 2 RA 4 RA 9
2012-10-04 – 2016-05-03
Futu Securities International (Hong Kong) Limited RO
RA 1 RA 2 RA 4 RA 9
2011-09-01 – 2012-09-27
Goldin Equities Limited RO
RA 1
2006-07-27 – 2012-09-27
Goldin Equities Limited Rep
RA 1 RA 2

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/AMX945