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LI Jian

李健
CE AWF297Licensed IndividualSFO licence active
Official SFC record

LI Jian (CE number AWF297) is an individual licensed by the Hong Kong SFC. First licensed on 2010-11-04. Their SFC licence is currently active. Accredited for regulated activity Type 4 (Advising on securities).

Regulated Activities (on record) (1)

RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeHuatai Financial Holdings (Hong Kong) Limited
華泰金融控股(香港)有限公司

Licence Record (5)

2019-05-30 – present Current
Huatai Financial Holdings (Hong Kong) Limited Rep
RA 4
2020-04-16 – 2022-08-12
Huatai Financial Holdings (Hong Kong) Limited RO
RA 4
2018-11-12 – 2019-03-31
Autonomous Research Asia Limited RO
RA 4
2015-05-26 – 2018-11-12
Autonomous Research Asia Limited Rep
RA 4
2010-11-04 – 2015-03-30
Macquarie Capital Limited Rep
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/AWF297