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WU Philip Han Wen

吳翰文
CE BOM514Licensed IndividualSFO licence active
Official SFC record

WU Philip Han Wen (CE number BOM514) is an individual licensed by the Hong Kong SFC. First licensed on 2019-06-28. 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 (1)

CapacityCompany / Institution
RepresentativePleiad Investment Advisors Limited
磊亞投資顧問有限公司

Licence Record (2)

2025-08-01 – present Current
Pleiad Investment Advisors Limited Rep
RA 9
2019-06-28 – 2025-03-14
UBS Securities 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/BOM514