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 Securities practitioners refer to those who are formally employed by or sign labor service agreements with securities practitioners approved by the China Securities Regulatory Commission in accordance with the law. Securities practitioners must obtain a securities practitioner qualification certificate from the China Securities Regulatory Commission in accordance with relevant regulations before they can work in various securities professional positions; at least two-thirds of the general managers, deputy general managers and senior managers of securities intermediary institutions should obtain securities qualification certificates. Practicing Qualification Certificate; Without obtaining the securities industry qualification, no one is allowed to work in various securities professional positions except those who meet the exemption requirements.

 According to regulations, securities practitioners mainly refer to the following personnel:

  • 1. The general manager and deputy general manager of a securities intermediary institution, except for the deputy general manager who is not responsible for securities business in concurrent securities operating institutions and institutions specified in Item 5 of this paragraph;
  • 2. The securities business institution shall have chief and deputy managers of each securities business department;
  • 3. The principal and deputy managers of the securities business department under the securities operating institution;
  • 4. Professionals engaged in securities issuance agency business in securities operating institutions;
  • 5. Professionals engaged in securities proprietary business in securities operating institutions;
  • 6. Professionals in securities operating institutions and securities investment consulting institutions who are engaged in providing investment consulting services to clients;
  • 7. The listing representative of securities operating institutions in the stock exchange;
  • 8. The securities clearing and registration institution shall have chief and deputy managers of each business department;
  • 9. Securities investment consulting institutions have chief and deputy managers of each business department;
  • 10. Computer managers of various securities intermediaries;
  • 11. Other practitioners that the China Securities Regulatory Commission deems necessary to confirm their qualifications;

 CnOpenData securities investment consulting agency employee information data contains basic information and professional experience change information of securities company practitioners since 2003, includingname, education, registration number, position, practice institution, registration date, Fields such as resignation registration dateand so on.


Time interval

2003.08-2023.5.30


Field display

Practitioner basic information table fields Practitioner career experience change table fields
Practitioner ID Practitioner ID
Name Registration number
Gender Registration date
Registration number Practice organization
Education Career positions
Registration date Registration status
Professional position ID Resignation date
Career positions
Job ownership
Internship address
Practice organization
Practice organization website
Phone number of practice institution

Sample data

Basic Information Form for Employees of Securities Investment Consulting Institutions

Practitioner ID Last name* Gender Registration number Education Registration date Professional position ID Career positions Job ownership Internship address Practice Organization Practice organization website Phone number of practice institution
179851 Lin* Female A0400622060001 Master's degree 2022-06-17 5 Securities investment consulting (investment advisory) Nanjing Branch Anhui Great Times Securities Investment Consulting Co., Ltd. www.dsd.com.cn 0551-62526954
196010 Kang* Male A0400123020001 Undergraduate 2023-02-07 0 General securities business Nanjing Branch Anhui Great Times Securities Investment Consulting Co., Ltd. www.dsd.com.cn 0551-62526954
20614 陈* Male A0400622120001 Undergraduate 2022-12-30 5 Securities investment consulting (investment advisory) Nanjing Branch Anhui Great Times Securities Investment Consulting Co., Ltd. www.dsd.com.cn 0551-62526954
234538 王* Male A0400622060002 Undergraduate 2022-06-24 5 Securities investment consulting (investment advisory) Nanjing Branch Anhui Great Times Securities Investment Consulting Co., Ltd. www.dsd.com.cn 0551-62526954
242862 Rui* Female A0400122090001 Undergraduate 2022-09-02 0 General securities business Nanjing Branch Anhui Great Times Securities Investment Consulting Co., Ltd. www.dsd.com.cn 0551-62526954
244336 Rao* Male A0400123030001 Undergraduate 2023-03-03 0 General securities business Nanjing Branch Anhui Great Times Securities Investment Consulting Co., Ltd. www.dsd.com.cn 0551-62526954
256863 Pei* Male A0400122060004 Undergraduate 2022-06-07 0 General securities business Nanjing Branch Anhui Great Times Securities Investment Consulting Co., Ltd. www.dsd.com.cn 0551-62526954
273836 Xu* Female A0400122100001 Undergraduate 2022-10-11 0 General securities business Nanjing Branch Anhui Great Times Securities Investment Consulting Co., Ltd. www.dsd.com.cn 0551-62526954
291050 Guo* Female A0400122060015 Undergraduate 2022-06-21 0 General securities business Nanjing Branch Anhui Great Times Securities Investment Consulting Co., Ltd. www.dsd.com.cn 0551-62526954
291061 Qiu* Male A0400122070003 Undergraduate 2022-07-08 0 General securities business Nanjing Branch Anhui Great Times Securities Investment Consulting Co., Ltd. www.dsd.com.cn 0551-62526954
343922 Ling* Female A0400621030001 Undergraduate 2021-03-02 5 Securities investment consulting (investment advisory) Research Department Anhui Great Times Securities Investment Consulting Co., Ltd. www.dsd.com.cn 0551-62526954
352527 Shu* Male A0400123020003 Undergraduate 2023-02-17 0 General securities business Nanjing Branch Anhui Great Times Securities Investment Consulting Co., Ltd. www.dsd.com.cn 0551-62526954
363755 Hu* Male A0400122030001 Undergraduate 2022-03-18 0 General securities business Manager’s Office Anhui Great Times Securities Investment Consulting Co., Ltd. www.dsd.com.cn 0551-62526954
007642 李* Male A0870611010001 Undergraduate 2011-01-18 5 Securities investment consulting (investment advisory) R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
113604 Horse* Male A0870123020047 Undergraduate 2023-02-11 0 General securities business R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
135872 Pan* Male A0870617070004 Undergraduate 2017-07-30 5 Securities investment consulting (investment advisory) Shandong Sales Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
137410 Du* Male A0870123020011 College College 2023-02-06 0 General securities business R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
137777 Liu* Male A0870116060002 Undergraduate 2016-06-11 0 General securities business General Manager’s Office Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
140102 ox* Female A0870117060017 College College 2017-06-27 0 General securities business Shandong Sales Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
140124 Xu* Female A0870621040001 Undergraduate 2021-04-02 5 Securities investment consulting (investment advisory) Shandong Sales Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
147541 Korea* Male A0870123020131 Undergraduate 2023-02-23 0 General securities business R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
152636 Liang* Female A0870123020033 Undergraduate 2023-02-09 0 General securities business R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
154746 玎* Female A0870621030001 Undergraduate 2021-03-29 5 Securities investment consulting (investment advisory) Shandong Sales Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
159908 Zheng* Male A0870616070001 Master's degree 2016-07-22 5 Securities investment consulting (investment advisory) Shandong Sales Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
161853 李* Female A0870117080008 College College 2017-08-14 0 General securities business Shandong Sales Center Four Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
172201 Tian* Female A0870123020036 Undergraduate 2023-02-09 0 General securities business R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
175980 Cai* Male A0870622090001 Undergraduate 2022-09-01 5 Securities investment consulting (investment advisory) R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
176190 Liu* Female A0870118080001 Undergraduate 2018-08-20 0 General securities business Shandong Sales Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
177201 Hu* Female A0870616100003 Undergraduate 2016-10-16 5 Securities investment consulting (investment advisory) R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
183423 Stone* Male A0870621100002 Undergraduate 2021-10-26 5 Securities investment consulting (investment advisory) R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
183628 李* Female A0870617070001 Undergraduate 2017-07-11 5 Securities investment consulting (investment advisory) Shandong Sales Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
185244 Liu* Male A0870618110001 Undergraduate 2018-11-14 5 Securities investment consulting (investment advisory) Other functional centers Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
186870 week* Male A0870617070003 Undergraduate 2017-07-24 5 Securities investment consulting (investment advisory) R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
192047 LV* Male A0870116120002 College College 2016-12-03 0 General securities business Tianjin Blues Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
193125 王* Male A0870117010001 College College 2017-01-15 0 General securities business Shandong Sales Center Four Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
19773 Hu* Male A0870123030033 Undergraduate 2023-03-03 0 General securities business R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
199802 王* Male A0870623020007 Undergraduate 2023-02-21 5 Securities investment consulting (investment advisory) R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
199954 Jia* Male A0870620110001 Undergraduate 2020-11-24 5 Securities investment consulting (investment advisory) R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
201873 Sun* Female A0870621050003 Undergraduate 2021-05-18 5 Securities investment consulting (investment advisory) Shandong Sales Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
203403 李* Male A0870122120011 High School 2022-12-09 0 General securities business R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
204280 王* Male A0870117030001 Undergraduate 2017-03-21 0 General securities business Tianjin Investment and Education Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
207243 张* Female A0870117040004 Technical secondary school 2017-04-29 0 General securities business Shandong Sales Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
208006 王* Female A0870117030002 College College 2017-03-21 0 General securities business Shandong Sales Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
209248 Qin* Male A0870123020009 Undergraduate 2023-02-06 0 General securities business R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
213951 Chu* Male A0870123020103 High School 2023-02-21 0 General securities business R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
216127 Zhao* Male A0870117070001 Undergraduate 2017-07-02 0 General securities business Shandong Sales Center Four Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
216343 Sun* Female A0870117050002 College College 2017-05-07 0 General securities business Tianjin Blues Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
220324 High* Male A0870123020132 Undergraduate 2023-02-23 0 General securities business R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
221163 Dong* Male A0870120070019 College College 2020-07-27 0 General securities business Tianjin Investment and Education Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464
223549 李* Male A0870123020010 Undergraduate 2023-02-06 0 General securities business R&D Center Beijing Hezhonghuifu Technology Co., Ltd. www.hzhfzx.com 18560219464

Career experience change table of employees of securities investment consulting institutions

Practitioner ID Registration number Registration date Practice Organization Career positions Registration Status
003953 A0100621050005 2021-05-21 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Resignation and cancellation
004388 A0100119010001 2019-01-22 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Changes within the organization
004388 A0100619060002 2019-06-08 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Resignation and cancellation
004388 A0100622060006 2022-06-09 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
036738 A0100621040002 2021-04-19 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
038161 A0100622040004 2022-04-15 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
050176 A0100622120003 2022-12-12 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
077957 A0100121110004 2021-11-23 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Normal
084935 A0100123030017 2023-03-03 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Normal
086167 A0100621050008 2021-05-27 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Resignation and cancellation
088148 A0100621080007 2021-08-26 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
093609 A0100621070004 2021-07-27 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Resignation and cancellation
096616 A0100620110003 2020-11-18 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
113604 A0100122110049 2022-11-21 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Resignation and cancellation
119327 A0100622030004 2022-03-14 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Resignation and cancellation
122821 A0100621010004 2021-01-20 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
130380 A0100122090062 2022-09-26 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Changes within the organization
130380 A0100622100002 2022-10-19 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
136700 A0100621080003 2021-08-09 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
13854 A0100119010002 2019-01-22 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Resignation and cancellation
13854 A0100622050007 2022-05-17 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
142802 A0100620120006 2020-12-25 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Resignation and cancellation
143439 A0100622080007 2022-08-12 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Resignation and cancellation
146741 A0100620070001 2020-07-07 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Resignation and cancellation
146741 A0100622080005 2022-08-09 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
147541 A0100622010009 2022-01-21 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Resignation and cancellation
148655 A0100620060004 2020-06-22 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Resignation and cancellation
154913 A0100622060012 2022-06-16 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
156825 A0100122080053 2022-08-15 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Resignation and cancellation
16331 A0100123020038 2023-02-14 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Normal
165197 A0100122100013 2022-10-14 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Normal
165797 A0100122010019 2022-01-27 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Normal
166059 A0100622100001 2022-10-11 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
168895 A0100622030001 2022-03-03 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
170975 A0100123020007 2023-02-06 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Normal
172201 A0100122110023 2022-11-07 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Resignation and cancellation
174590 A0100622010008 2022-01-21 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
178852 A0100622020007 2022-02-17 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
179832 A0100122090068 2022-09-27 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Normal
179884 A0100619060001 2019-06-08 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Resignation and cancellation
187060 A0100620090001 2020-09-10 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Resignation and cancellation
190316 A0100122080036 2022-08-11 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Normal
193638 A0100622060009 2022-06-10 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Resignation and cancellation
193638 A0100123020035 2023-02-14 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Changes within the organization
193638 A0100623020012 2023-02-28 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
195650 A0100120110001 2020-11-17 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Changes within the organization
195650 A0100621050004 2021-05-20 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
197741 A0100620070007 2020-07-23 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Normal
19901090 A0100122090041 2022-09-15 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. General securities business Changes within the organization
19901090 A0100622090007 2022-09-27 Beijing Oriental Gaosheng Investment Consulting Co., Ltd. Securities investment consulting (investment advisory) Resignation and cancellation

Data update frequency

Annual Update

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