SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED 西證(香港)證券經紀有限公司
This page shows the historic number of SFC licensees for a firm. Licensees are either Responsible Officers (ROs) or Representatives (Reps). When Activity is set to "All", we treat a person who holds both roles (in different activities) as an RO. The Reps v total is a measure of how bottom-heavy a firm is, because the ROs are supposed to supervise the Reps. For other firms, click here. For the total in all firms, click here. Note that due to a transitional period which ended on 31-Mar-2005, many licenses in some activities were surrendered or not extended beyond that date.
| Date | ROs | Reps | Total | Reps v total |
|---|---|---|---|---|
| 2024-06-12 | 3 | 0 | 3 | 0.00% |
| 2024-05-31 | 3 | 0 | 3 | 0.00% |
| 2024-04-30 | 3 | 0 | 3 | 0.00% |
| 2024-03-31 | 3 | 0 | 3 | 0.00% |
| 2024-02-29 | 3 | 0 | 3 | 0.00% |
| 2024-01-31 | 3 | 0 | 3 | 0.00% |
| 2023-12-31 | 3 | 0 | 3 | 0.00% |
| 2023-11-30 | 3 | 1 | 4 | 25.00% |
| 2023-10-31 | 4 | 1 | 5 | 20.00% |
| 2023-09-30 | 4 | 1 | 5 | 20.00% |
| 2023-08-31 | 4 | 1 | 5 | 20.00% |
| 2023-07-31 | 4 | 1 | 5 | 20.00% |
| 2023-06-30 | 4 | 1 | 5 | 20.00% |
| 2023-05-31 | 4 | 1 | 5 | 20.00% |
| 2023-04-30 | 4 | 2 | 6 | 33.33% |
| 2023-03-31 | 4 | 2 | 6 | 33.33% |
| 2023-02-28 | 4 | 2 | 6 | 33.33% |
| 2023-01-31 | 4 | 2 | 6 | 33.33% |
| 2022-12-31 | 5 | 3 | 8 | 37.50% |
| 2022-11-30 | 6 | 3 | 9 | 33.33% |
| 2022-10-31 | 6 | 3 | 9 | 33.33% |
| 2022-09-30 | 6 | 4 | 10 | 40.00% |
| 2022-08-31 | 7 | 3 | 10 | 30.00% |
| 2022-07-31 | 8 | 7 | 15 | 46.67% |
| 2022-06-30 | 10 | 11 | 21 | 52.38% |
| 2022-05-31 | 10 | 11 | 21 | 52.38% |
| 2022-04-30 | 10 | 15 | 25 | 60.00% |
| 2022-03-31 | 10 | 13 | 23 | 56.52% |
| 2022-02-28 | 10 | 13 | 23 | 56.52% |
| 2022-01-31 | 9 | 13 | 22 | 59.09% |
| 2021-12-31 | 9 | 13 | 22 | 59.09% |
| 2021-11-30 | 9 | 15 | 24 | 62.50% |
| 2021-10-31 | 9 | 14 | 23 | 60.87% |
| 2021-09-30 | 9 | 15 | 24 | 62.50% |
| 2021-08-31 | 9 | 16 | 25 | 64.00% |
| 2021-07-31 | 9 | 17 | 26 | 65.38% |
| 2021-06-30 | 9 | 17 | 26 | 65.38% |
| 2021-05-31 | 9 | 18 | 27 | 66.67% |
| 2021-04-30 | 9 | 19 | 28 | 67.86% |
| 2021-03-31 | 9 | 18 | 27 | 66.67% |
| 2021-02-28 | 9 | 18 | 27 | 66.67% |
| 2021-01-31 | 9 | 19 | 28 | 67.86% |
| 2020-12-31 | 10 | 20 | 30 | 66.67% |
| 2020-11-30 | 10 | 21 | 31 | 67.74% |
| 2020-10-31 | 10 | 22 | 32 | 68.75% |
| 2020-09-30 | 10 | 22 | 32 | 68.75% |
| 2020-08-31 | 10 | 22 | 32 | 68.75% |
| 2020-07-31 | 11 | 22 | 33 | 66.67% |
| 2020-06-30 | 11 | 22 | 33 | 66.67% |
| 2020-05-31 | 11 | 20 | 31 | 64.52% |
| 2020-04-30 | 9 | 25 | 34 | 73.53% |
| 2020-03-31 | 9 | 25 | 34 | 73.53% |
| 2020-02-29 | 10 | 21 | 31 | 67.74% |
| 2020-01-31 | 11 | 21 | 32 | 65.63% |
| 2019-12-31 | 11 | 25 | 36 | 69.44% |
| 2019-11-30 | 11 | 25 | 36 | 69.44% |
| 2019-10-31 | 11 | 28 | 39 | 71.79% |
| 2019-09-30 | 11 | 30 | 41 | 73.17% |
| 2019-08-31 | 10 | 31 | 41 | 75.61% |
| 2019-07-31 | 10 | 31 | 41 | 75.61% |
| 2019-06-30 | 10 | 31 | 41 | 75.61% |
| 2019-05-31 | 10 | 31 | 41 | 75.61% |
| 2019-04-30 | 10 | 32 | 42 | 76.19% |
| 2019-03-31 | 10 | 33 | 43 | 76.74% |
| 2019-02-28 | 11 | 33 | 44 | 75.00% |
| 2019-01-31 | 11 | 33 | 44 | 75.00% |
| 2018-12-31 | 11 | 38 | 49 | 77.55% |
| 2018-11-30 | 10 | 38 | 48 | 79.17% |
| 2018-10-31 | 10 | 39 | 49 | 79.59% |
| 2018-09-30 | 10 | 39 | 49 | 79.59% |
| 2018-08-31 | 10 | 43 | 53 | 81.13% |
| 2018-07-31 | 10 | 43 | 53 | 81.13% |
| 2018-06-30 | 10 | 41 | 51 | 80.39% |
| 2018-05-31 | 10 | 42 | 52 | 80.77% |
| 2018-04-30 | 10 | 41 | 51 | 80.39% |
| 2018-03-31 | 10 | 40 | 50 | 80.00% |
| 2018-02-28 | 10 | 43 | 53 | 81.13% |
| 2018-01-31 | 10 | 44 | 54 | 81.48% |
| 2017-12-31 | 10 | 44 | 54 | 81.48% |
| 2017-11-30 | 10 | 46 | 56 | 82.14% |
| 2017-10-31 | 8 | 48 | 56 | 85.71% |
| 2017-09-30 | 8 | 47 | 55 | 85.45% |
| 2017-08-31 | 8 | 45 | 53 | 84.91% |
| 2017-07-31 | 8 | 47 | 55 | 85.45% |
| 2017-06-30 | 8 | 47 | 55 | 85.45% |
| 2017-05-31 | 8 | 48 | 56 | 85.71% |
| 2017-04-30 | 9 | 47 | 56 | 83.93% |
| 2017-03-31 | 9 | 47 | 56 | 83.93% |
| 2017-02-28 | 9 | 49 | 58 | 84.48% |
| 2017-01-31 | 9 | 49 | 58 | 84.48% |
| 2016-12-31 | 8 | 49 | 57 | 85.96% |
| 2016-11-30 | 8 | 50 | 58 | 86.21% |
| 2016-10-31 | 6 | 51 | 57 | 89.47% |
| 2016-09-30 | 6 | 52 | 58 | 89.66% |
| 2016-08-31 | 4 | 53 | 57 | 92.98% |
| 2016-07-31 | 4 | 52 | 56 | 92.86% |
| 2016-06-30 | 4 | 50 | 54 | 92.59% |
| 2016-05-31 | 4 | 49 | 53 | 92.45% |
| 2016-04-30 | 5 | 49 | 54 | 90.74% |
| 2016-03-31 | 6 | 48 | 54 | 88.89% |
| 2016-02-29 | 8 | 48 | 56 | 85.71% |
| 2016-01-31 | 8 | 48 | 56 | 85.71% |
| 2015-12-31 | 8 | 46 | 54 | 85.19% |
| 2015-11-30 | 7 | 53 | 60 | 88.33% |
| 2015-10-31 | 7 | 53 | 60 | 88.33% |
| 2015-09-30 | 7 | 53 | 60 | 88.33% |
| 2015-08-31 | 7 | 54 | 61 | 88.52% |
| 2015-07-31 | 7 | 52 | 59 | 88.14% |
| 2015-06-30 | 6 | 52 | 58 | 89.66% |
| 2015-05-31 | 6 | 55 | 61 | 90.16% |
| 2015-04-30 | 5 | 54 | 59 | 91.53% |
| 2015-03-31 | 5 | 55 | 60 | 91.67% |
| 2015-02-28 | 5 | 53 | 58 | 91.38% |
| 2015-01-31 | 5 | 50 | 55 | 90.91% |
| 2014-12-31 | 5 | 48 | 53 | 90.57% |
| 2014-11-30 | 5 | 55 | 60 | 91.67% |
| 2014-10-31 | 5 | 55 | 60 | 91.67% |
| 2014-09-30 | 5 | 59 | 64 | 92.19% |
| 2014-08-31 | 5 | 59 | 64 | 92.19% |
| 2014-07-31 | 5 | 65 | 70 | 92.86% |
| 2014-06-30 | 5 | 68 | 73 | 93.15% |
| 2014-05-31 | 5 | 69 | 74 | 93.24% |
| 2014-04-30 | 5 | 70 | 75 | 93.33% |
| 2014-03-31 | 5 | 69 | 74 | 93.24% |
| 2014-02-28 | 4 | 68 | 72 | 94.44% |
| 2014-01-31 | 4 | 68 | 72 | 94.44% |
| 2013-12-31 | 4 | 67 | 71 | 94.37% |
| 2013-11-30 | 4 | 71 | 75 | 94.67% |
| 2013-10-31 | 4 | 73 | 77 | 94.81% |
| 2013-09-30 | 4 | 68 | 72 | 94.44% |
| 2013-08-31 | 4 | 71 | 75 | 94.67% |
| 2013-07-31 | 4 | 72 | 76 | 94.74% |
| 2013-06-30 | 4 | 75 | 79 | 94.94% |
| 2013-05-31 | 4 | 75 | 79 | 94.94% |
| 2013-04-30 | 3 | 73 | 76 | 96.05% |
| 2013-03-31 | 3 | 73 | 76 | 96.05% |
| 2013-02-28 | 3 | 73 | 76 | 96.05% |
| 2013-01-31 | 3 | 72 | 75 | 96.00% |
| 2012-12-31 | 3 | 74 | 77 | 96.10% |
| 2012-11-30 | 3 | 82 | 85 | 96.47% |
| 2012-10-31 | 3 | 79 | 82 | 96.34% |
| 2012-09-30 | 3 | 81 | 84 | 96.43% |
| 2012-08-31 | 3 | 81 | 84 | 96.43% |
| 2012-07-31 | 3 | 80 | 83 | 96.39% |
| 2012-06-30 | 3 | 82 | 85 | 96.47% |
| 2012-05-31 | 3 | 80 | 83 | 96.39% |
| 2012-04-30 | 3 | 77 | 80 | 96.25% |
| 2012-03-31 | 3 | 75 | 78 | 96.15% |
| 2012-02-29 | 3 | 71 | 74 | 95.95% |
| 2012-01-31 | 3 | 71 | 74 | 95.95% |
| 2011-12-31 | 3 | 74 | 77 | 96.10% |
| 2011-11-30 | 4 | 77 | 81 | 95.06% |
| 2011-10-31 | 4 | 75 | 79 | 94.94% |
| 2011-09-30 | 4 | 79 | 83 | 95.18% |
| 2011-08-31 | 4 | 80 | 84 | 95.24% |
| 2011-07-31 | 5 | 84 | 89 | 94.38% |
| 2011-06-30 | 5 | 86 | 91 | 94.51% |
| 2011-05-31 | 4 | 82 | 86 | 95.35% |
| 2011-04-30 | 4 | 83 | 87 | 95.40% |
| 2011-03-31 | 4 | 84 | 88 | 95.45% |
| 2011-02-28 | 4 | 87 | 91 | 95.60% |
| 2011-01-31 | 4 | 86 | 90 | 95.56% |
| 2010-12-31 | 5 | 84 | 89 | 94.38% |
| 2010-11-30 | 5 | 77 | 82 | 93.90% |
| 2010-10-31 | 5 | 70 | 75 | 93.33% |
| 2010-09-30 | 4 | 68 | 72 | 94.44% |
| 2010-08-31 | 4 | 64 | 68 | 94.12% |
| 2010-07-31 | 4 | 62 | 66 | 93.94% |
| 2010-06-30 | 4 | 63 | 67 | 94.03% |
| 2010-05-31 | 4 | 60 | 64 | 93.75% |
| 2010-04-30 | 4 | 60 | 64 | 93.75% |
| 2010-03-31 | 4 | 59 | 63 | 93.65% |
| 2010-02-28 | 4 | 58 | 62 | 93.55% |
| 2010-01-31 | 4 | 59 | 63 | 93.65% |
| 2009-12-31 | 4 | 57 | 61 | 93.44% |
| 2009-11-30 | 4 | 54 | 58 | 93.10% |
| 2009-10-31 | 4 | 54 | 58 | 93.10% |
| 2009-09-30 | 4 | 54 | 58 | 93.10% |
| 2009-08-31 | 3 | 56 | 59 | 94.92% |
| 2009-07-31 | 3 | 60 | 63 | 95.24% |
| 2009-06-30 | 3 | 52 | 55 | 94.55% |
| 2009-05-31 | 3 | 52 | 55 | 94.55% |
| 2009-04-30 | 3 | 48 | 51 | 94.12% |
| 2009-03-31 | 3 | 49 | 52 | 94.23% |
| 2009-02-28 | 3 | 46 | 49 | 93.88% |
| 2009-01-31 | 3 | 49 | 52 | 94.23% |
| 2008-12-31 | 3 | 55 | 58 | 94.83% |
| 2008-11-30 | 3 | 58 | 61 | 95.08% |
| 2008-10-31 | 3 | 60 | 63 | 95.24% |
| 2008-09-30 | 3 | 61 | 64 | 95.31% |
| 2008-08-31 | 3 | 63 | 66 | 95.45% |
| 2008-07-31 | 2 | 66 | 68 | 97.06% |
| 2008-06-30 | 2 | 69 | 71 | 97.18% |
| 2008-05-31 | 2 | 62 | 64 | 96.88% |
| 2008-04-30 | 2 | 62 | 64 | 96.88% |
| 2008-03-31 | 2 | 64 | 66 | 96.97% |
| 2008-02-29 | 2 | 65 | 67 | 97.01% |
| 2008-01-31 | 2 | 71 | 73 | 97.26% |
| 2007-12-31 | 3 | 71 | 74 | 95.95% |
| 2007-11-30 | 2 | 69 | 71 | 97.18% |
| 2007-10-31 | 2 | 67 | 69 | 97.10% |
| 2007-09-30 | 2 | 67 | 69 | 97.10% |
| 2007-08-31 | 2 | 61 | 63 | 96.83% |
| 2007-07-31 | 2 | 56 | 58 | 96.55% |
| 2007-06-30 | 2 | 57 | 59 | 96.61% |
| 2007-05-31 | 2 | 52 | 54 | 96.30% |
| 2007-04-30 | 2 | 48 | 50 | 96.00% |
| 2007-03-31 | 2 | 46 | 48 | 95.83% |
| 2007-02-28 | 2 | 43 | 45 | 95.56% |
| 2007-01-31 | 2 | 41 | 43 | 95.35% |
| 2006-12-31 | 2 | 41 | 43 | 95.35% |
| 2006-11-30 | 2 | 42 | 44 | 95.45% |
| 2006-10-31 | 2 | 40 | 42 | 95.24% |
| 2006-09-30 | 2 | 33 | 35 | 94.29% |
| 2006-08-31 | 2 | 35 | 37 | 94.59% |
| 2006-07-31 | 2 | 37 | 39 | 94.87% |
| 2006-06-30 | 2 | 35 | 37 | 94.59% |
| 2006-05-31 | 2 | 38 | 40 | 95.00% |
| 2006-04-30 | 2 | 36 | 38 | 94.74% |
| 2006-03-31 | 2 | 37 | 39 | 94.87% |
| 2006-02-28 | 2 | 39 | 41 | 95.12% |
| 2006-01-31 | 2 | 38 | 40 | 95.00% |
| 2005-12-31 | 2 | 38 | 40 | 95.00% |
| 2005-11-30 | 2 | 39 | 41 | 95.12% |
| 2005-10-31 | 2 | 41 | 43 | 95.35% |
| 2005-09-30 | 2 | 45 | 47 | 95.74% |
| 2005-08-31 | 2 | 49 | 51 | 96.08% |
| 2005-07-31 | 2 | 48 | 50 | 96.00% |
| 2005-06-30 | 2 | 45 | 47 | 95.74% |
| 2005-05-31 | 2 | 41 | 43 | 95.35% |
| 2005-04-30 | 2 | 42 | 44 | 95.45% |
| 2005-03-31 | 2 | 39 | 41 | 95.12% |
| 2005-02-28 | 2 | 33 | 35 | 94.29% |
| 2005-01-31 | 2 | 36 | 38 | 94.74% |
| 2004-12-31 | 2 | 32 | 34 | 94.12% |
| 2004-11-30 | 2 | 31 | 33 | 93.94% |
| 2004-10-31 | 2 | 32 | 34 | 94.12% |
| 2004-09-30 | 2 | 31 | 33 | 93.94% |
| 2004-08-31 | 2 | 32 | 34 | 94.12% |
| 2004-07-31 | 2 | 34 | 36 | 94.44% |
| 2004-06-30 | 2 | 33 | 35 | 94.29% |
| 2004-05-31 | 2 | 34 | 36 | 94.44% |
| 2004-04-30 | 2 | 32 | 34 | 94.12% |
| 2004-03-31 | 2 | 29 | 31 | 93.55% |
| 2004-02-29 | 2 | 30 | 32 | 93.75% |
| 2004-01-31 | 2 | 31 | 33 | 93.94% |
| 2003-12-31 | 2 | 29 | 31 | 93.55% |
| 2003-11-30 | 2 | 26 | 28 | 92.86% |
| 2003-10-31 | 2 | 25 | 27 | 92.59% |
| 2003-09-30 | 2 | 19 | 21 | 90.48% |
| 2003-08-31 | 2 | 18 | 20 | 90.00% |
| 2003-07-31 | 2 | 19 | 21 | 90.48% |
| 2003-06-30 | 2 | 20 | 22 | 90.91% |
| 2003-05-31 | 2 | 15 | 17 | 88.24% |
| 2003-04-30 | 2 | 15 | 17 | 88.24% |
| 2003-03-31 | 2 | 14 | 16 | 87.50% |
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