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LEE Nicholas Kong Tze

李光祖
CE ANG864Licensed IndividualSFO licence active
Official SFC record

LEE Nicholas Kong Tze (CE number ANG864) is an individual licensed by the Hong Kong SFC. First licensed on 2006-04-19. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 9 (Asset management).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeGoldman Sachs (Asia) L.L.C.
高盛(亞洲)有限責任公司
RepresentativeGoldman Sachs (Asia) Securities Limited
高盛(亞洲)證券有限公司

Licence Record (7)

2024-09-04 – present Current
Goldman Sachs (Asia) L.L.C. Rep
RA 1 RA 9
2024-09-04 – present Current
Goldman Sachs (Asia) Securities Limited Rep
RA 2
2010-10-13 – 2014-06-10
Citigroup Global Markets Asia Limited Rep
RA 1 RA 2
2010-10-13 – 2013-08-31
Citigroup Global Markets Hong Kong Futures and Securities Limited Rep
RA 1 RA 2
2007-03-21 – 2008-10-22
Merrill Lynch Futures (Hong Kong) Limited Rep
RA 2
2006-04-19 – 2020-08-31
Merrill Lynch (Asia Pacific) Limited Rep
RA 1
2006-04-19 – 2020-08-31
Merrill Lynch Far East 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/ANG864