Ccb Securities Limited (Kowloon Bay, Kowloon)

Ccb Securities Limited is an adviser based in Kowloon Bay, Kowloon. It manages $11.97 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2017.

Ccb Securities Limited provides portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ccb Securities Limited: assets under management

The assets under management (AUM) of Ccb Securities Limited is $11.97 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 20% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $11.97 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $11.97 million each.

What kind of clients Ccb Securities Limited serves?

The only and largest group of clients of Ccb Securities Limited is investment companies with 1 clients and $11.97 million of assets under management. Among the 2 most similar advisory firms, Ccb Securities Limited has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $11.97 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Ccb Securities Limited doesn't advise any private funds.

Careers at Ccb Securities Limited

The company employs 16 people that are either part- or full-time employees. 19 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
China Construction Bank (Asia) Corporation Limited	Shareholder	1 Dec 2006	75% - 100%	foreign entity
Yan Ka Lok	Chief compliance officer, portfolio manager and executive director	1 Sep 2016	Other	6854847
Ka Lok Yan	Portfolio manager	1 Sep 2016	Other	6854847
Leo C. Liu	Internal control manager	1 Jan 2017	Other	6854122
Chun Sing Lau	Chief compliance officer	1 Mar 2018	Other	6932185
Zhang Ting	Portfolio manager	1 Mar 2018	Other	6932806

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
China Construction Bank Corporation	Shareholder	1 Aug 2006	75% - 100%	foreign entity
Ccb International Group Holdings Limited	Shareholder	1 Nov 2006	75% - 100%	foreign entity
Ccb Overseas Holdings Limited	Shareholder	1 Dec 2006	75% - 100%	foreign entity

Based in Kowloon Bay, Kowloon

The principal office where Ccb Securities Limited performs its advisory services is located at 18/F, Ccb Centre, 18 Wang Chiu Road, Kowloon Bay, Kowloon, , which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number +852 3918 6177 or by fax +852 2918 6147. The normal business hours are 9 am-5 pm on Monday - Friday.