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KWOK Ming San

郭明燊
CE APR775Licensed IndividualSFO licence active
Official SFC record

KWOK Ming San (CE number APR775) is an individual licensed by the Hong Kong SFC. First licensed on 2007-09-27. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeCharles Schwab, Hong Kong, Limited
嘉信理財香港有限公司

Licence Record (3)

2014-10-06 – present Current
Charles Schwab, Hong Kong, Limited Rep
RA 1 RA 4 RA 5
2011-01-31 – 2014-02-15
Merrill Lynch Far East Limited Rep
RA 2
2007-09-27 – 2014-02-15
Merrill Lynch (Asia Pacific) Limited Rep
RA 1 RA 4

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/APR775