Lehman Brothers Securities Asia Limited
美國雷曼兄弟證券亞洲有限公司
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lehman Brothers Securities Asia Limited (美國雷曼兄弟證券亞洲有限公司), a Hong Kong-based licensed corporation with CE reference AAE656. Current licensed staff on file: 0 (total recorded over time: 141).
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | present | 2024-11-13 |
| Type 4 — Advising on securities | present | 2003-09-04 |
| Type 6 — Advising on corporate finance | present | 2003-09-04 |
| Type 7 — Providing automated trading services | present | 2003-09-04 |
| Type 9 — Asset management | present | 2003-09-04 |
Licensed staff (all-time) (141)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| David Archibald Douglas | RO 1 Rep 1 | 2005-07 | 2008-08 |
| Lee Kerry Hemmings | RO 1 Rep 1 | 2007-07 | 2008-09 |
| Tang Seng Kee | RO 1 Rep 1 | 2003-08 | 2008-09 |
| David Tai Yuen Lam 林大源 | RO 1 Rep 1, 4, 6, 7, 9 | Pre-2003 | 2008-09 |
| Robert Waldo Lance | RO 1 Rep 1, 7 | 2003-04 | 2006-02 |
| Jenkin Ching Kei Leung 梁正己 | RO 1 | 2004-10 | 2005-07 |
| Johnson Mar | RO 1, 7 | Pre-2003 | 2008-09 |
| David Nichols | RO 1 | 2007-10 | 2008-09 |
| Christopher James Sidney O'Meara | RO 1 Rep 1, 7 | 2003-04 | 2008-09 |
| Dominic Jon Penton | RO 1, 7 Rep 1 | Pre-2003 | 2005-05 |
| Kirk Chester Sweeney | RO 1, 4, 6, 7, 9 | Pre-2003 | 2008-09 |
| Eric Kai Lap Wong 黃啟立 | RO 1 Rep 1 | 2006-11 | 2007-05 |
| John Joseph Adair | Rep 1 | 2007-05 | 2008-09 |
| Anthony John Arnaudy | Rep 1 | 2005-08 | 2008-09 |
| Martin Bertsch | Rep 1 | 2007-06 | 2008-09 |
| Jonathan Quinn Bolon | Rep 1 | 2008-07 | 2008-09 |
| William Sterett Bowmer III | Rep 1, 4, 6, 7, 9 | Pre-2003 | 2004-07 |
| Thibaut Jean-Manuel Camguilhem | Rep 1 | 2008-08 | 2008-09 |
| Shirley Mei Fung Chan 陳美鳳 | Rep 1, 4, 6, 7, 9 | Pre-2003 | 2008-09 |
| Lu Lu Chang 張路路 | Rep 1 | 2006-08 | 2008-09 |
| Randy Chung-Hsia Chang 張崇夏 | Rep 1 | 2007-08 | 2008-09 |
| Wei-Chun Chang 張維君 | Rep 1 | 2008-02 | 2008-09 |
| Kenneth Yiu Man Chau 周耀文 | Rep 1 | 2008-05 | 2008-09 |
| Andy Hoi Tai Cheung 張海泰 | Rep 1 | 2008-08 | 2008-09 |
| Edward Tze Loong Cheung 張澤龍 | Rep 1 | 2004-08 | 2008-05 |
| Hye Jin Choi | Rep 1 | 2007-07 | 2008-09 |
| Jae Joon Choi | Rep 1 | 2007-08 | 2008-09 |
| Kenny Chong 莊嘉麟 | Rep 1 | 2007-04 | 2008-09 |
| Marco Chun Wah Chong 張俊華 | Rep 1 | 2006-04 | 2008-09 |
| Yew Khee Choon 秦耀奇 | Rep 1 | 2006-07 | 2008-03 |
| Kah Yi Chung | Rep 1 | 2007-05 | 2008-04 |
| Michael Armond Cipresso | Rep 1 | 2007-11 | 2007-12 |
| Liza Yap Co | Rep 1 | 2004-10 | 2005-04 |
| Crisostomo Medardo Felicisimo Cultura 顧鎮廷 | Rep 1, 4, 6, 7, 9 | Pre-2003 | 2008-09 |
| Anindya Dasgupta | Rep 1 | 2008-05 | 2008-09 |
| Michael Anthony Di Iorio | Rep 1 | 2007-11 | 2008-09 |
| Yong Ding 丁勇 | Rep 1 | 2007-09 | 2008-09 |
| Jocelyn Jee Eun Doe | Rep 1 | 2006-11 | 2008-09 |
| Geoffrey Frederick Feldkamp | Rep 1 | 2008-01 | 2008-09 |
| Shuang Feng 馮爽 | Rep 1 | 2008-01 | 2008-09 |
| Luke Fletcher | Rep 1 | 2007-05 | 2008-09 |
| Chung Yin Fok 霍聰賢 | Rep 1 | 2007-07 | 2008-09 |
| Kee Hung Fok 霍基雄 | Rep 1, 4, 6, 7, 9 | Pre-2003 | 2007-08 |
| Selina Suk Han Fung 馮淑嫻 | Rep 1 | 2006-04 | 2008-09 |
| William Ching Ho Fung 馮正可 | Rep 1 | 2005-02 | 2008-09 |
| David Charles Gerhart | Rep 1 | 2007-07 | 2007-11 |
| John Swafford Goff | Rep 1 | 2008-06 | 2008-09 |
| Thomas Alan Halliwell | Rep 1 | 2007-05 | 2008-09 |
| Michael Oliver Haskamp 何敏行 | Rep 1 | 2008-02 | 2008-09 |
| Tucker Montana Highfield | Rep 1, 6 | 2003-04 | 2004-05 |
| Alexander da Yung Ho | Rep 1 | 2008-08 | 2008-09 |
| Catherine Kai-Yung Ho 何開容 | Rep 1 | 2007-08 | 2008-09 |
| Sue Lin Holt | Rep 1 | 2004-02 | 2008-09 |
| Joonkee Hong 洪俊基 | Rep 1 | 2005-04 | 2008-09 |
| Varnit Jain | Rep 1 | 2008-01 | 2008-09 |
| Anuruk Karoonyavanich | Rep 1 | 2007-04 | 2008-09 |
| Astghik Khachatryan | Rep 1 | 2007-08 | 2008-09 |
| Hong Il Kim 金洪溢 | Rep 1 | 2008-04 | 2008-09 |
| Susan Eun Kim | Rep 1 | 2008-08 | 2008-09 |
| Scott William Kinnear-Nock | Rep 1 | 2008-05 | 2008-09 |
| Austin Voorhees Koenen Jr | Rep 1 | 2007-11 | 2008-09 |
| Poh Soon Koh | Rep 1, 4, 6, 7, 9 | Pre-2003 | 2003-04 |
| Ginam Koo | Rep 1 | 2008-05 | 2008-09 |
| Jessica Lee Lachs | Rep 1 | 2008-02 | 2008-07 |
| Wai Tsz Lai 黎慧慈 | Rep 1 | 2003-10 | 2007-05 |
| Madhu Subramanian Lalgudi Gurumurthy | Rep 1 | 2007-08 | 2008-09 |
| Lana Chuk Nga Lam 林竹雅 | Rep 1 | 2007-08 | 2008-05 |
| Joseph Han Wai Lau 劉恆瑋 | Rep 1 | 2007-07 | 2008-09 |
| Karen Yik Ki Law 羅亦琦 | Rep 1 | 2006-10 | 2008-09 |
| Calvin Chi Toa Lee 李智滔 | Rep 1 | 2007-08 | 2008-09 |
| Chin Keng Lee 李俊慶 | Rep 1 | 2007-07 | 2008-09 |
| Dennis Pui Yan Lee 李沛欣 | Rep 1 | 2007-03 | 2008-09 |
| Edward Yuan Tse Lee 李淵智 | Rep 1, 4, 6, 7, 9 | Pre-2003 | 2005-06 |
| Joseph Won Lee | Rep 1 | 2007-10 | 2008-09 |
| Karen Kar Woon Lee 李嘉媛 | Rep 1 | 2008-01 | 2008-09 |
| Suh Yung Lee | Rep 1 | 2006-11 | 2008-04 |
| Helen (SFC:AOP097) Leung 梁浩雯 | Rep 1 | 2007-02 | 2008-03 |
| Jackson Cheuk Shun Leung 梁卓信 | Rep 1 | 2006-07 | 2008-09 |
| Sandy Wai Sum Leung 梁慧心 | Rep 1 | 2008-09 | 2008-09 |
| Wai Kei Leung 梁偉基 | Rep 1 | 2008-05 | 2008-09 |
| Cherry Sin King Li 李倩琼 | Rep 1 | 2006-10 | 2008-03 |
| James Teik Beng Lim | Rep 1 | 2007-03 | 2008-09 |
| Terence Seng Chong Lim 林成忠 | Rep 1 | 2006-05 | 2008-09 |
| Xin Lin 林鑫 | Rep 1 | 2005-08 | 2008-09 |
| Yue Hin Lo 羅宇軒 | Rep 1 | 2008-08 | 2008-09 |
| Adrian Jenn Yeh Loh | Rep 1 | 2006-05 | 2007-03 |
| Sylvia Ching Yan Luk 陸靜茵 | Rep 1 | 2005-01 | 2008-09 |
| Hin Chun Mak 麥顯俊 | Rep 1 | 2007-08 | 2008-09 |
| Marian Yuen Man Mak 麥沅雯 | Rep 1 | 2005-03 | 2007-04 |
| Hugh McPherson Lathrop Murray | Rep 1 | 2007-10 | 2008-09 |
| Bosco Yan Lam Ng 吳欣霖 | Rep 1 | 2008-08 | 2008-09 |
| Cynthia Nicot | Rep 1 | 2007-08 | 2008-09 |
| Logan Siva Nirmalananda | Rep 1 | 2004-03 | 2007-05 |
| Scott Clifford Noble | Rep 1 | 2007-09 | 2008-09 |
| Seung Joo Oh 吳昇宙 | Rep 1 | 2004-11 | 2005-06 |
| Simon Wui Shiang Ong | Rep 1 | 2007-04 | 2008-09 |
| Arun Madhavaraya Pai | Rep 1 | 2007-08 | 2007-09 |
| David L Paine | Rep 1, 4, 6, 7, 9 | Pre-2003 | 2008-09 |
| Yan Pang 龐艷 | Rep 1 | 2007-07 | 2008-09 |
| Adam Nicholas Perrett 龐立德 | Rep 1 | 2004-05 | 2006-04 |
Showing 1–100 of 141