GUOTAI JUNAN CAPITAL LIMITED 國泰君安融資有限公司
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 |
|---|---|---|---|---|
| 2024-06-09 | 12 | 75 | 87 | 86.21% |
| 2024-05-31 | 12 | 75 | 87 | 86.21% |
| 2024-04-30 | 12 | 77 | 89 | 86.52% |
| 2024-03-31 | 12 | 76 | 88 | 86.36% |
| 2024-02-29 | 11 | 80 | 91 | 87.91% |
| 2024-01-31 | 11 | 80 | 91 | 87.91% |
| 2023-12-31 | 11 | 81 | 92 | 88.04% |
| 2023-11-30 | 12 | 82 | 94 | 87.23% |
| 2023-10-31 | 12 | 82 | 94 | 87.23% |
| 2023-09-30 | 12 | 81 | 93 | 87.10% |
| 2023-08-31 | 12 | 78 | 90 | 86.67% |
| 2023-07-31 | 12 | 77 | 89 | 86.52% |
| 2023-06-30 | 13 | 76 | 89 | 85.39% |
| 2023-05-31 | 13 | 77 | 90 | 85.56% |
| 2023-04-30 | 11 | 81 | 92 | 88.04% |
| 2023-03-31 | 11 | 82 | 93 | 88.17% |
| 2023-02-28 | 11 | 83 | 94 | 88.30% |
| 2023-01-31 | 11 | 84 | 95 | 88.42% |
| 2022-12-31 | 12 | 83 | 95 | 87.37% |
| 2022-11-30 | 12 | 84 | 96 | 87.50% |
| 2022-10-31 | 12 | 85 | 97 | 87.63% |
| 2022-09-30 | 14 | 89 | 103 | 86.41% |
| 2022-08-31 | 14 | 88 | 102 | 86.27% |
| 2022-07-31 | 14 | 88 | 102 | 86.27% |
| 2022-06-30 | 13 | 59 | 72 | 81.94% |
| 2022-05-31 | 13 | 59 | 72 | 81.94% |
| 2022-04-30 | 13 | 62 | 75 | 82.67% |
| 2022-03-31 | 13 | 62 | 75 | 82.67% |
| 2022-02-28 | 13 | 63 | 76 | 82.89% |
| 2022-01-31 | 14 | 62 | 76 | 81.58% |
| 2021-12-31 | 14 | 62 | 76 | 81.58% |
| 2021-11-30 | 13 | 61 | 74 | 82.43% |
| 2021-10-31 | 13 | 57 | 70 | 81.43% |
| 2021-09-30 | 12 | 53 | 65 | 81.54% |
| 2021-08-31 | 10 | 52 | 62 | 83.87% |
| 2021-07-31 | 11 | 52 | 63 | 82.54% |
| 2021-06-30 | 11 | 46 | 57 | 80.70% |
| 2021-05-31 | 12 | 47 | 59 | 79.66% |
| 2021-04-30 | 12 | 49 | 61 | 80.33% |
| 2021-03-31 | 12 | 49 | 61 | 80.33% |
| 2021-02-28 | 12 | 46 | 58 | 79.31% |
| 2021-01-31 | 12 | 45 | 57 | 78.95% |
| 2020-12-31 | 13 | 46 | 59 | 77.97% |
| 2020-11-30 | 14 | 50 | 64 | 78.13% |
| 2020-10-31 | 14 | 51 | 65 | 78.46% |
| 2020-09-30 | 14 | 52 | 66 | 78.79% |
| 2020-08-31 | 13 | 53 | 66 | 80.30% |
| 2020-07-31 | 12 | 56 | 68 | 82.35% |
| 2020-06-30 | 12 | 56 | 68 | 82.35% |
| 2020-05-31 | 12 | 58 | 70 | 82.86% |
| 2020-04-30 | 12 | 58 | 70 | 82.86% |
| 2020-03-31 | 11 | 59 | 70 | 84.29% |
| 2020-02-29 | 11 | 56 | 67 | 83.58% |
| 2020-01-31 | 11 | 57 | 68 | 83.82% |
| 2019-12-31 | 11 | 54 | 65 | 83.08% |
| 2019-11-30 | 11 | 50 | 61 | 81.97% |
| 2019-10-31 | 11 | 49 | 60 | 81.67% |
| 2019-09-30 | 10 | 52 | 62 | 83.87% |
| 2019-08-31 | 10 | 49 | 59 | 83.05% |
| 2019-07-31 | 10 | 49 | 59 | 83.05% |
| 2019-06-30 | 9 | 50 | 59 | 84.75% |
| 2019-05-31 | 9 | 50 | 59 | 84.75% |
| 2019-04-30 | 9 | 50 | 59 | 84.75% |
| 2019-03-31 | 9 | 50 | 59 | 84.75% |
| 2019-02-28 | 9 | 50 | 59 | 84.75% |
| 2019-01-31 | 9 | 48 | 57 | 84.21% |
| 2018-12-31 | 9 | 47 | 56 | 83.93% |
| 2018-11-30 | 9 | 47 | 56 | 83.93% |
| 2018-10-31 | 8 | 50 | 58 | 86.21% |
| 2018-09-30 | 9 | 48 | 57 | 84.21% |
| 2018-08-31 | 9 | 45 | 54 | 83.33% |
| 2018-07-31 | 9 | 43 | 52 | 82.69% |
| 2018-06-30 | 10 | 43 | 53 | 81.13% |
| 2018-05-31 | 10 | 46 | 56 | 82.14% |
| 2018-04-30 | 11 | 40 | 51 | 78.43% |
| 2018-03-31 | 11 | 39 | 50 | 78.00% |
| 2018-02-28 | 11 | 40 | 51 | 78.43% |
| 2018-01-31 | 11 | 39 | 50 | 78.00% |
| 2017-12-31 | 11 | 39 | 50 | 78.00% |
| 2017-11-30 | 11 | 38 | 49 | 77.55% |
| 2017-10-31 | 11 | 38 | 49 | 77.55% |
| 2017-09-30 | 11 | 39 | 50 | 78.00% |
| 2017-08-31 | 11 | 38 | 49 | 77.55% |
| 2017-07-31 | 11 | 38 | 49 | 77.55% |
| 2017-06-30 | 10 | 40 | 50 | 80.00% |
| 2017-05-31 | 10 | 40 | 50 | 80.00% |
| 2017-04-30 | 10 | 39 | 49 | 79.59% |
| 2017-03-31 | 10 | 41 | 51 | 80.39% |
| 2017-02-28 | 10 | 40 | 50 | 80.00% |
| 2017-01-31 | 10 | 38 | 48 | 79.17% |
| 2016-12-31 | 10 | 39 | 49 | 79.59% |
| 2016-11-30 | 10 | 39 | 49 | 79.59% |
| 2016-10-31 | 10 | 39 | 49 | 79.59% |
| 2016-09-30 | 10 | 38 | 48 | 79.17% |
| 2016-08-31 | 10 | 37 | 47 | 78.72% |
| 2016-07-31 | 10 | 38 | 48 | 79.17% |
| 2016-06-30 | 8 | 40 | 48 | 83.33% |
| 2016-05-31 | 8 | 40 | 48 | 83.33% |
| 2016-04-30 | 8 | 40 | 48 | 83.33% |
| 2016-03-31 | 7 | 41 | 48 | 85.42% |
| 2016-02-29 | 7 | 42 | 49 | 85.71% |
| 2016-01-31 | 7 | 41 | 48 | 85.42% |
| 2015-12-31 | 7 | 42 | 49 | 85.71% |
| 2015-11-30 | 7 | 41 | 48 | 85.42% |
| 2015-10-31 | 7 | 41 | 48 | 85.42% |
| 2015-09-30 | 7 | 41 | 48 | 85.42% |
| 2015-08-31 | 7 | 39 | 46 | 84.78% |
| 2015-07-31 | 7 | 38 | 45 | 84.44% |
| 2015-06-30 | 7 | 37 | 44 | 84.09% |
| 2015-05-31 | 7 | 37 | 44 | 84.09% |
| 2015-04-30 | 7 | 33 | 40 | 82.50% |
| 2015-03-31 | 7 | 33 | 40 | 82.50% |
| 2015-02-28 | 7 | 32 | 39 | 82.05% |
| 2015-01-31 | 7 | 32 | 39 | 82.05% |
| 2014-12-31 | 7 | 32 | 39 | 82.05% |
| 2014-11-30 | 7 | 32 | 39 | 82.05% |
| 2014-10-31 | 7 | 31 | 38 | 81.58% |
| 2014-09-30 | 7 | 29 | 36 | 80.56% |
| 2014-08-31 | 7 | 30 | 37 | 81.08% |
| 2014-07-31 | 7 | 30 | 37 | 81.08% |
| 2014-06-30 | 7 | 30 | 37 | 81.08% |
| 2014-05-31 | 7 | 31 | 38 | 81.58% |
| 2014-04-30 | 7 | 32 | 39 | 82.05% |
| 2014-03-31 | 7 | 32 | 39 | 82.05% |
| 2014-02-28 | 7 | 32 | 39 | 82.05% |
| 2014-01-31 | 7 | 31 | 38 | 81.58% |
| 2013-12-31 | 7 | 31 | 38 | 81.58% |
| 2013-11-30 | 7 | 29 | 36 | 80.56% |
| 2013-10-31 | 7 | 26 | 33 | 78.79% |
| 2013-09-30 | 7 | 25 | 32 | 78.13% |
| 2013-08-31 | 7 | 22 | 29 | 75.86% |
| 2013-07-31 | 7 | 22 | 29 | 75.86% |
| 2013-06-30 | 7 | 23 | 30 | 76.67% |
| 2013-05-31 | 8 | 22 | 30 | 73.33% |
| 2013-04-30 | 8 | 22 | 30 | 73.33% |
| 2013-03-31 | 9 | 24 | 33 | 72.73% |
| 2013-02-28 | 8 | 25 | 33 | 75.76% |
| 2013-01-31 | 8 | 25 | 33 | 75.76% |
| 2012-12-31 | 7 | 25 | 32 | 78.13% |
| 2012-11-30 | 7 | 25 | 32 | 78.13% |
| 2012-10-31 | 7 | 20 | 27 | 74.07% |
| 2012-09-30 | 8 | 20 | 28 | 71.43% |
| 2012-08-31 | 8 | 18 | 26 | 69.23% |
| 2012-07-31 | 6 | 22 | 28 | 78.57% |
| 2012-06-30 | 6 | 22 | 28 | 78.57% |
| 2012-05-31 | 6 | 22 | 28 | 78.57% |
| 2012-04-30 | 6 | 23 | 29 | 79.31% |
| 2012-03-31 | 6 | 23 | 29 | 79.31% |
| 2012-02-29 | 6 | 23 | 29 | 79.31% |
| 2012-01-31 | 6 | 23 | 29 | 79.31% |
| 2011-12-31 | 6 | 23 | 29 | 79.31% |
| 2011-11-30 | 6 | 23 | 29 | 79.31% |
| 2011-10-31 | 6 | 23 | 29 | 79.31% |
| 2011-09-30 | 6 | 22 | 28 | 78.57% |
| 2011-08-31 | 5 | 22 | 27 | 81.48% |
| 2011-07-31 | 6 | 21 | 27 | 77.78% |
| 2011-06-30 | 6 | 23 | 29 | 79.31% |
| 2011-05-31 | 6 | 22 | 28 | 78.57% |
| 2011-04-30 | 6 | 22 | 28 | 78.57% |
| 2011-03-31 | 6 | 22 | 28 | 78.57% |
| 2011-02-28 | 6 | 21 | 27 | 77.78% |
| 2011-01-31 | 6 | 21 | 27 | 77.78% |
| 2010-12-31 | 6 | 21 | 27 | 77.78% |
| 2010-11-30 | 6 | 20 | 26 | 76.92% |
| 2010-10-31 | 6 | 19 | 25 | 76.00% |
| 2010-09-30 | 6 | 18 | 24 | 75.00% |
| 2010-08-31 | 6 | 19 | 25 | 76.00% |
| 2010-07-31 | 6 | 19 | 25 | 76.00% |
| 2010-06-30 | 5 | 19 | 24 | 79.17% |
| 2010-05-31 | 5 | 15 | 20 | 75.00% |
| 2010-04-30 | 6 | 15 | 21 | 71.43% |
| 2010-03-31 | 6 | 15 | 21 | 71.43% |
| 2010-02-28 | 6 | 14 | 20 | 70.00% |
| 2010-01-31 | 5 | 15 | 20 | 75.00% |
| 2009-12-31 | 5 | 14 | 19 | 73.68% |
| 2009-11-30 | 5 | 14 | 19 | 73.68% |
| 2009-10-31 | 5 | 14 | 19 | 73.68% |
| 2009-09-30 | 5 | 14 | 19 | 73.68% |
| 2009-08-31 | 5 | 14 | 19 | 73.68% |
| 2009-07-31 | 5 | 14 | 19 | 73.68% |
| 2009-06-30 | 5 | 14 | 19 | 73.68% |
| 2009-05-31 | 5 | 14 | 19 | 73.68% |
| 2009-04-30 | 5 | 14 | 19 | 73.68% |
| 2009-03-31 | 5 | 14 | 19 | 73.68% |
| 2009-02-28 | 5 | 15 | 20 | 75.00% |
| 2009-01-31 | 5 | 18 | 23 | 78.26% |
| 2008-12-31 | 5 | 18 | 23 | 78.26% |
| 2008-11-30 | 5 | 19 | 24 | 79.17% |
| 2008-10-31 | 5 | 19 | 24 | 79.17% |
| 2008-09-30 | 5 | 19 | 24 | 79.17% |
| 2008-08-31 | 5 | 19 | 24 | 79.17% |
| 2008-07-31 | 5 | 18 | 23 | 78.26% |
| 2008-06-30 | 3 | 20 | 23 | 86.96% |
| 2008-05-31 | 3 | 19 | 22 | 86.36% |
| 2008-04-30 | 3 | 18 | 21 | 85.71% |
| 2008-03-31 | 4 | 18 | 22 | 81.82% |
| 2008-02-29 | 4 | 17 | 21 | 80.95% |
| 2008-01-31 | 4 | 18 | 22 | 81.82% |
| 2007-12-31 | 4 | 18 | 22 | 81.82% |
| 2007-11-30 | 4 | 16 | 20 | 80.00% |
| 2007-10-31 | 4 | 16 | 20 | 80.00% |
| 2007-09-30 | 5 | 15 | 20 | 75.00% |
| 2007-08-31 | 5 | 14 | 19 | 73.68% |
| 2007-07-31 | 5 | 13 | 18 | 72.22% |
| 2007-06-30 | 5 | 13 | 18 | 72.22% |
| 2007-05-31 | 5 | 11 | 16 | 68.75% |
| 2007-04-30 | 5 | 13 | 18 | 72.22% |
| 2007-03-31 | 5 | 12 | 17 | 70.59% |
| 2007-02-28 | 5 | 12 | 17 | 70.59% |
| 2007-01-31 | 5 | 12 | 17 | 70.59% |
| 2006-12-31 | 5 | 11 | 16 | 68.75% |
| 2006-11-30 | 5 | 11 | 16 | 68.75% |
| 2006-10-31 | 5 | 12 | 17 | 70.59% |
| 2006-09-30 | 5 | 12 | 17 | 70.59% |
| 2006-08-31 | 5 | 12 | 17 | 70.59% |
| 2006-07-31 | 5 | 12 | 17 | 70.59% |
| 2006-06-30 | 5 | 9 | 14 | 64.29% |
| 2006-05-31 | 5 | 9 | 14 | 64.29% |
| 2006-04-30 | 4 | 10 | 14 | 71.43% |
| 2006-03-31 | 4 | 10 | 14 | 71.43% |
| 2006-02-28 | 4 | 8 | 12 | 66.67% |
| 2006-01-31 | 4 | 8 | 12 | 66.67% |
| 2005-12-31 | 4 | 7 | 11 | 63.64% |
| 2005-11-30 | 4 | 7 | 11 | 63.64% |
| 2005-10-31 | 4 | 7 | 11 | 63.64% |
| 2005-09-30 | 4 | 8 | 12 | 66.67% |
| 2005-08-31 | 3 | 8 | 11 | 72.73% |
| 2005-07-31 | 3 | 8 | 11 | 72.73% |
| 2005-06-30 | 3 | 8 | 11 | 72.73% |
| 2005-05-31 | 4 | 7 | 11 | 63.64% |
| 2005-04-30 | 5 | 8 | 13 | 61.54% |
| 2005-03-31 | 5 | 8 | 13 | 61.54% |
| 2005-02-28 | 5 | 8 | 13 | 61.54% |
| 2005-01-31 | 5 | 8 | 13 | 61.54% |
| 2004-12-31 | 5 | 9 | 14 | 64.29% |
| 2004-11-30 | 5 | 9 | 14 | 64.29% |
| 2004-10-31 | 5 | 11 | 16 | 68.75% |
| 2004-09-30 | 5 | 11 | 16 | 68.75% |
| 2004-08-31 | 5 | 10 | 15 | 66.67% |
| 2004-07-31 | 5 | 10 | 15 | 66.67% |
| 2004-06-30 | 5 | 9 | 14 | 64.29% |
| 2004-05-31 | 5 | 10 | 15 | 66.67% |
| 2004-04-30 | 5 | 11 | 16 | 68.75% |
| 2004-03-31 | 5 | 12 | 17 | 70.59% |
| 2004-02-29 | 5 | 12 | 17 | 70.59% |
| 2004-01-31 | 5 | 11 | 16 | 68.75% |
| 2003-12-31 | 5 | 11 | 16 | 68.75% |
| 2003-11-30 | 5 | 11 | 16 | 68.75% |
| 2003-10-31 | 5 | 11 | 16 | 68.75% |
| 2003-09-30 | 5 | 11 | 16 | 68.75% |
| 2003-08-31 | 5 | 10 | 15 | 66.67% |
| 2003-07-31 | 5 | 8 | 13 | 61.54% |
| 2003-06-30 | 5 | 8 | 13 | 61.54% |
| 2003-05-31 | 4 | 9 | 13 | 69.23% |
| 2003-04-30 | 4 | 9 | 13 | 69.23% |
| 2003-03-31 | 3 | 9 | 12 | 75.00% |
Sign up for our free newsletter
Recommend Webb-site to a friend
Copyright & disclaimer, Privacy policy