Tse, Soo Lai 謝素麗
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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Organisation | Role | Activity | From | Until | |
---|---|---|---|---|---|
1 | ACUMEN WEALTH MANAGEMENT LIMITED (d2011-07-29) | Rep | Advising on securities | 2008-10-22 | 2009-12-15 |
2 | AXA Financial Planning (Hong Kong) Limited | Rep | Advising on securities | 2006-04-03 | 2008-10-01 |
3 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2010-06-10 | 2011-01-05 |
4 | Network Financial Services Limited | Rep | Advising on securities | 2006-01-23 | |
5 | Principal Investment & Retirement Services Limited | Rep | Dealing in securities | 2012-01-26 | 2013-02-11 | RO | Advising on securities | 2012-01-26 | 2013-02-11 |
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