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 alternative subsidiary 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 Alternative Subsidiaries
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 |
---|---|---|---|---|---|---|---|---|---|---|---|---|
040542 | week* | Female | L0010122120005 | Undergraduate | 2022-12-20 | 0 | General securities business | Company leadership | Guangfa Qianhe Investment Co., Ltd. | |||
058053 | Zeng* | Male | L0010122120020 | Master's degree | 2022-12-20 | 0 | General securities business | Company leadership | Guangfa Qianhe Investment Co., Ltd. | |||
102994 | History* | Male | L0010122120018 | PhD candidate | 2022-12-20 | 0 | General securities business | Hard Technology Industry Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
118963 | Yu* | Male | L0010122120016 | Master's degree | 2022-12-20 | 0 | General securities business | Special Opportunities Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
167329 | Sun* | Male | L0010122120019 | Master's degree | 2022-12-20 | 0 | General securities business | Compliance and Risk Control Department | Guangfa Qianhe Investment Co., Ltd. | |||
212035 | Europe* | Female | L0010122120006 | Master's degree | 2022-12-20 | 0 | General securities business | Soft Technology Industry Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
249009 | Liu* | Male | L0010122120025 | Master's degree | 2022-12-23 | 0 | General securities business | Strategic Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
259163 | Ye* | Male | L0010122080001 | Master's degree | 2022-08-16 | 0 | General securities business | Advanced Manufacturing Industry Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
29901968 | Xu* | Male | L0010122120013 | Master's degree | 2022-12-20 | 0 | General securities business | New Consumer Industry Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
29908016 | Du* | Female | L0010122120026 | Master's degree | 2022-12-28 | 0 | General securities business | Special Opportunities Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
29934711 | 陈* | Female | L0010122120001 | Master's degree | 2022-12-20 | 0 | General securities business | Operation Management Department | Guangfa Qianhe Investment Co., Ltd. | |||
46512 | Zhai* | Female | L0010122120007 | Master's degree | 2022-12-20 | 0 | General securities business | Compliance and Risk Control Department | Guangfa Qianhe Investment Co., Ltd. | |||
485266 | Yellow* | Male | L0010122100003 | Master's degree | 2022-10-28 | 0 | General securities business | Project Management Department | Guangfa Qianhe Investment Co., Ltd. | |||
496156 | 张* | Male | L0010122080003 | Master's degree | 2022-08-31 | 0 | General securities business | Soft Technology Industry Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
496282 | Yuan* | Male | L0010122080002 | Master's degree | 2022-08-16 | 0 | General securities business | New Consumer Industry Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
512151 | Zheng* | Male | L0010122100002 | Master's degree | 2022-10-28 | 0 | General securities business | Special Opportunities Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
514167 | Woof* | Male | L0010122120002 | Master's degree | 2022-12-20 | 0 | General securities business | Special Opportunities Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
515292 | Zhao* | Male | L0010122120010 | Master's degree | 2022-12-20 | 0 | General securities business | Operation Management Department | Guangfa Qianhe Investment Co., Ltd. | |||
515394 | He* | Male | L0010122120003 | PhD candidate | 2022-12-20 | 0 | General securities business | Medical and Health Industry Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
515598 | Yu* | Male | L0010122120011 | Undergraduate | 2022-12-20 | 0 | General securities business | Compliance and Risk Control Department | Guangfa Qianhe Investment Co., Ltd. | |||
515625 | Liu* | Female | L0010122120012 | Master's degree | 2022-12-20 | 0 | General securities business | Finance Department | Guangfa Qianhe Investment Co., Ltd. | |||
515827 | Zheng* | Male | L0010122120021 | Master's degree | 2022-12-20 | 0 | General securities business | Medical and Health Industry Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
515883 | Tang* | Male | L0010122120008 | Undergraduate | 2022-12-20 | 0 | General securities business | Project Management Department | Guangfa Qianhe Investment Co., Ltd. | |||
515891 | Liu* | Female | L0010122120024 | Master's degree | 2022-12-20 | 0 | General securities business | Finance Department | Guangfa Qianhe Investment Co., Ltd. | |||
515893 | Yellow* | Male | L0010122120014 | Master's degree | 2022-12-20 | 0 | General securities business | Compliance and Risk Control Department | Guangfa Qianhe Investment Co., Ltd. | |||
59962278 | Hu* | Male | L0010122120004 | PhD candidate | 2022-12-20 | 0 | General securities business | Medical and Health Industry Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
59964861 | Yellow* | Male | L0010122120017 | Master's degree | 2022-12-20 | 0 | General securities business | Advanced Manufacturing Industry Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
59978013 | Sun* | Female | L0010122120023 | Master's degree | 2022-12-20 | 0 | General securities business | New Consumer Industry Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
69931173 | Zhao* | Female | L0010122120015 | Master's degree | 2022-12-20 | 0 | General securities business | Project Management Department | Guangfa Qianhe Investment Co., Ltd. | |||
79939613 | Shen* | Female | L0010122120009 | Master's degree | 2022-12-20 | 0 | General securities business | New Consumer Industry Investment Department | Guangfa Qianhe Investment Co., Ltd. | |||
80231 | Liu* | Female | L0010122120022 | Undergraduate | 2022-12-20 | 0 | General securities business | Finance Department | Guangfa Qianhe Investment Co., Ltd. | |||
032588 | Sun* | Female | L0400122080005 | College College | 2022-08-25 | 0 | General securities business | Manager's Room | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
033066 | 江* | Male | L0400122120001 | Master's degree | 2022-12-30 | 0 | General securities business | Compliance and Risk Control Department | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
086985 | week* | Male | L0400122110001 | Master's degree | 2022-11-16 | 0 | General securities business | Board of Directors | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
095473 | Horse* | Male | L0400122080004 | Master's degree | 2022-08-25 | 0 | General securities business | Manager's Room | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
298807 | Horse* | Male | L0400122080002 | Master's degree | 2022-08-25 | 0 | General securities business | Innovation Investment Department | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
29965898 | Wu* | Female | L0400122080001 | Undergraduate | 2022-08-24 | 0 | General securities business | Innovation Investment Department | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
308092 | 张* | Male | L0400122080003 | Master's degree | 2022-08-25 | 0 | General securities business | Equity Investment Department | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
489731 | Hu* | Male | L0400122080007 | Master's degree | 2022-08-25 | 0 | General securities business | Equity Investment Department | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
500882 | 张* | Male | L0400122100002 | Master's degree | 2022-10-10 | 0 | General securities business | Equity Investment Department | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
502262 | paragraph* | Female | L0400122100001 | Undergraduate | 2022-10-10 | 0 | General securities business | Innovation Investment Department | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
509290 | Yang* | Male | L0400122110005 | Master's degree | 2022-11-22 | 0 | General securities business | Equity Investment Department | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
511448 | 张* | Male | L0400122110003 | Master's degree | 2022-11-17 | 0 | General securities business | Equity Investment Department | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
516740 | Xu* | Female | L0400122110004 | Undergraduate | 2022-11-22 | 0 | General securities business | General Management Department | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
62460 | 张* | Male | L0400122110002 | Master's degree | 2022-11-16 | 0 | General securities business | Equity Investment Department | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
65433 | Sun* | Male | L0400122080006 | Master's degree | 2022-08-25 | 0 | General securities business | Manager's Room | Shouzheng Zefu Innovation Investment (Beijing) Co., Ltd. | |||
29916729 | Single* | Male | L0530122080012 | Master's degree | 2022-08-09 | 0 | General securities business | Strategic Investment Department | Western Securities Innovation Investment Co., Ltd. | 023-67783977 | ||
29920594 | Zhao* | Male | L0530122080028 | Undergraduate | 2022-08-18 | 0 | General securities business | Equity Investment Part Five | Western Securities Innovation Investment Co., Ltd. | 023-67783977 | ||
29938626 | 陈* | Male | L0530122080002 | College College | 2022-08-08 | 0 | General securities business | Financial Accounting Department | Western Securities Innovation Investment Co., Ltd. | 023-67783977 | ||
487375 | Tang* | Male | L0530122080023 | Undergraduate | 2022-08-15 | 0 | General securities business | Administrative Department | Western Securities Innovation Investment Co., Ltd. | 023-67783977 |
Career experience change table of employees of securities alternative subsidiaries
Practitioner ID | Registration number | Registration date | Practice Organization | Career positions | Registration Status |
---|---|---|---|---|---|
039584 | L0550123010001 | 2023-01-11 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
125441 | L0550122120008 | 2022-12-05 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
152498 | L0550122120013 | 2022-12-05 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
180615 | L0550122120015 | 2022-12-05 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
187238 | L0550122120005 | 2022-12-02 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
246825 | L0550122120002 | 2022-12-02 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
263002 | L0550122120001 | 2022-12-02 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
271665 | L0550122120020 | 2022-12-06 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
29900762 | L0550122120018 | 2022-12-06 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
29911914 | L0550122120011 | 2022-12-05 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
29922689 | L0550122120017 | 2022-12-06 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
349532 | L0550122120016 | 2022-12-05 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
39904558 | L0550122120021 | 2022-12-13 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
418988 | L0550122120014 | 2022-12-05 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
425755 | L0550122120004 | 2022-12-02 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
432651 | L0550122120003 | 2022-12-02 | Guotai Junan Zhengyu Investment Co., Ltd. | General securities business | Normal |
496156 | L0010122080003 | 2022-08-31 | Guangfa Qianhe Investment Co., Ltd. | General securities business | Normal |
496282 | L0010122080002 | 2022-08-16 | Guangfa Qianhe Investment Co., Ltd. | General securities business | Normal |
509887 | L0010122100001 | 2022-10-28 | Guangfa Qianhe Investment Co., Ltd. | General securities business | Resignation and cancellation |
512151 | L0010122100002 | 2022-10-28 | Guangfa Qianhe Investment Co., Ltd. | General securities business | Normal |
514167 | L0010122120002 | 2022-12-20 | Guangfa Qianhe Investment Co., Ltd. | General securities business | Normal |
514238 | L0010122100004 | 2022-10-28 | Guangfa Qianhe Investment Co., Ltd. | General securities business | Resignation and cancellation |
515292 | L0010122120010 | 2022-12-20 | Guangfa Qianhe Investment Co., Ltd. | General securities business | Normal |
59962278 | L0010122120004 | 2022-12-20 | Guangfa Qianhe Investment Co., Ltd. | General securities business | Normal |
59964861 | L0010122120017 | 2022-12-20 | Guangfa Qianhe Investment Co., Ltd. | General securities business | Normal |
59978013 | L0010122120023 | 2022-12-20 | Guangfa Qianhe Investment Co., Ltd. | General securities business | Normal |
69931173 | L0010122120015 | 2022-12-20 | Guangfa Qianhe Investment Co., Ltd. | General securities business | Normal |
79939613 | L0010122120009 | 2022-12-20 | Guangfa Qianhe Investment Co., Ltd. | General securities business | Normal |
80231 | L0010122120022 | 2022-12-20 | Guangfa Qianhe Investment Co., Ltd. | General securities business | Normal |
047191 | L0530122080029 | 2022-08-18 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
29901551 | L0530122080031 | 2022-08-18 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
29916729 | L0530122080012 | 2022-08-09 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
29920594 | L0530122080028 | 2022-08-18 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
29938626 | L0530122080002 | 2022-08-08 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
487375 | L0530122080023 | 2022-08-15 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
496780 | L0530123020002 | 2023-02-14 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
496782 | L0530122080005 | 2022-08-08 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
496940 | L0530122080008 | 2022-08-09 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
496957 | L0530122080015 | 2022-08-10 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
496963 | L0530122080007 | 2022-08-09 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
497007 | L0530122080025 | 2022-08-17 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
497011 | L0530122080035 | 2022-08-23 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
497016 | L0530122080004 | 2022-08-08 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
497045 | L0530122080011 | 2022-08-09 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
497048 | L0530122080022 | 2022-08-15 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
497112 | L0530122080033 | 2022-08-18 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
497130 | L0530122080020 | 2022-08-12 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
497254 | L0530122080017 | 2022-08-12 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
497432 | L0530123020001 | 2023-02-13 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
497446 | L0530122080014 | 2022-08-09 | Western Securities Innovation Investment Co., Ltd. | General securities business | Normal |
Data update frequency
Annual Update