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NG Wing Kin Ricky

吳榮堅
CE BTR442Licensed IndividualExecutive OfficerSFO licence active
Official SFC record

NG Wing Kin Ricky (CE number BTR442) is an individual licensed by the Hong Kong SFC. First licensed on 2025-09-15. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (2)

CapacityCompany / Institution
Executive OfficerSumitomo Mitsui Banking Corporation
RepresentativeSMBC Nikko Securities (Hong Kong) Limited
日興證券(香港)有限公司

Licence Record (2)

2026-03-19 – present Current
SMBC Nikko Securities (Hong Kong) Limited Rep
RA 1 RA 4 RA 6
2025-09-15 – 2026-03-18
SMBC Nikko Securities (Hong Kong) Limited Rep
RA 1 RA 4 RA 6

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/BTR442