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LU Steven Shiming

陸世銘
CE AOJ443Licensed IndividualSFO licence active
Official SFC record

LU Steven Shiming (CE number AOJ443) is an individual licensed by the Hong Kong SFC. First licensed on 2007-01-04. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management).

Regulated Activities (on record) (6)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeGF Securities (Hong Kong) Brokerage Limited
廣發証券(香港)經紀有限公司

Licence Record (7)

2024-05-14 – present Current
GF Securities (Hong Kong) Brokerage Limited Rep
RA 1
2019-10-11 – 2023-03-10
Credit Suisse (Hong Kong) Limited Rep
RA 1 RA 2 RA 4 RA 5
2013-11-01 – 2018-11-30
BlackRock Asset Management North Asia Limited Rep
RA 1 RA 4 RA 6 RA 9
2013-11-01 – 2014-12-31
BlackRock (Hong Kong) Limited Rep
RA 1 RA 4 RA 9
2012-02-13 – 2013-07-31
China International Capital Corporation Hong Kong Futures Limited Rep
RA 2
2008-08-19 – 2013-07-31
China International Capital Corporation Hong Kong Securities Limited Rep
RA 1 RA 4
2007-01-04 – 2008-05-05
Barclays Capital Asia 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/AOJ443