Lehman Brothers Asia Limited

美國雷曼兄弟亞洲投資有限公司
CE No. AAE689 Licensed corporation Active

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lehman Brothers Asia Limited (美國雷曼兄弟亞洲投資有限公司), a Hong Kong-based licensed corporation with CE reference AAE689. Current licensed staff on file: 0 (total recorded over time: 918).

Licence history

ActivityFromTo
Type 1 - Dealing in securities present 2024-11-13
Type 2 - Dealing in futures contracts present 2024-11-13
Type 4 - Advising on securities present 2024-11-13
Type 5 - Advising on futures contracts present 2003-09-19
Type 6 - Advising on corporate finance present 2024-11-13
Type 7 - Providing automated trading services present 2003-09-19
Type 9 - Asset management present 2003-09-19

Licensed staff (all-time) (918)
Active on date

Name Activities First licensed To
Charles Alan Heathcote Alexander RO 4, 6 Rep 4, 6 2004-10 2008-02
Colin Dennis Banfield RO 4, 6 Rep 4, 6 2007-09 2008-09
Jasjit Singh Bhattal RO 4, 6, 9 Pre-2003 2008-09
Simon Guomin Chen 陳國敏 RO 6 Rep 4, 6 2005-02 2006-06
Edward Tze Loong Cheung 張澤龍 RO 2 Rep 1, 2 2004-08 2008-05
David Archibald Douglas RO 1, 6 Rep 1, 6 2005-07 2008-08
Jonathan Howe Harris RO 4 Rep 1, 4 2003-12 2006-07
George Alan Hellawell III RO 4 Rep 4, 6, 9 Pre-2003 2006-02
Lee Kerry Hemmings RO 1, 2 Rep 1, 2 2007-07 2008-09
Tang Seng Kee RO 1 Rep 1, 2 2003-08 2008-09
Chiew Cheng Khoo 邱秋清 RO 4 Rep 4 2006-05 2008-09
David Tai Yuen Lam 林大源 RO 1 Rep 1, 2, 4, 6, 7, 9 Pre-2003 2008-09
Robert Waldo Lance RO 1, 2 Rep 1, 7 2003-04 2006-02
Neel Laungani RO 6 Rep 4, 6, 9 Pre-2003 2008-09
Edward Yuan Tse Lee 李淵智 RO 4 Rep 1, 4, 6, 7, 9 Pre-2003 2005-06
Jenkin Ching Kei Leung 梁正己 RO 1 Rep 1, 2 2004-08 2005-07
Johnson Mar RO 1, 7 Pre-2003 2008-09
William Jude Mc Grath 馬格比利 RO 1, 4, 7 Pre-2003 2005-08
Pradeep Mohinani RO 4 Rep 4 2005-05 2008-09
David Nichols RO 1 Rep 1 2006-09 2008-09
Brian Michael O'Connor RO 6 Pre-2003 2005-06
Christopher James Sidney O'Meara RO 1, 2 Rep 1, 2, 7 2003-04 2008-09
Dominic Jon Penton RO 1, 7 Rep 1 Pre-2003 2005-05
Adam Nicholas Perrett 龐立德 RO 4 Rep 1, 6 2004-05 2006-04
Anthony John Steains RO 4, 6 Rep 4, 6 2006-05 2008-09
Kirk Chester Sweeney RO 1, 2, 4, 6, 7, 9 Pre-2003 2008-09
Erik Hong Tung 童慷 RO 6 Rep 4, 6 2005-10 2008-09
Kasper Jan van Griensven RO 4, 6 Rep 4, 6 2006-08 2008-07
Eric Kai Lap Wong 黃啟立 RO 1, 6 Rep 1, 6 2006-11 2007-05
Yat Wai Wu 胡一威 RO 4 Rep 4, 6, 9 Pre-2003 2005-05
Zhizhong Yang 楊志中 RO 6 Rep 4, 6 2004-09 2008-09
Ming Lai Yu 余明麗 RO 4 Rep 4 2003-08 2006-04
John Joseph Adair Rep 1, 2 2007-04 2008-09
Harsh Lakshman Agarwal Rep 4 2006-05 2008-09
Sunayana Agarwal Rep 4 2007-06 2008-07
Varun Agarwal Rep 1, 2 2008-06 2008-09
Jannik Ahlefeldt-Laurvig Rep 1, 6 2008-09 2008-09
Sarwar Ahmad Rep 1, 4 2007-03 2008-03
Chihiro Aldeen Rep 1, 4, 6, 7, 9 Pre-2003 2008-09
Sung Jin An Rep 1, 4, 6 2006-08 2008-09
Simon Malcolm Andrew Rep 1 2004-05 2006-02
Vivi Anggraini Rep 4, 6 2006-10 2008-09
Christopher George Antonelli Rep 1 2008-01 2008-08
Anthony John Arnaudy Rep 1, 6 2005-08 2008-09
Gaurav Arora Rep 1, 2 2007-06 2008-09
Nupur Arya Rep 1 2007-08 2008-09
Michael Asuncion Rep 4, 6 2007-07 2008-09
Julia Bowen Atwood Rep 4, 6 2007-08 2008-09
Antares Au 區天駿 Rep 4 2007-04 2008-09
Stephen Wai Ming Au 區偉明 Rep 4, 6, 9 Pre-2003 2005-09
Tin Wai Au 區天偉 Rep 1 2004-05 2006-07
Prabhat Awasthi Rep 4 2007-09 2008-09
Andrew Paul Baars Rep 1, 4 2007-10 2008-05
Timothy Mustapha Bacchus Rep 4 2003-09 2005-10
Akshay Badjate Rep 1, 4 2008-07 2008-09
Vedanta Bagchi Rep 4 2007-06 2007-10
Aditya Vikram Bagree Rep 1, 2 2008-07 2008-09
Shuyang Bai 白舒揚 Rep 4, 6 2008-07 2008-09
Xue (SFC:AOK741) Bai 柏雪 Rep 4, 6 2007-01 2008-06
Saeyoon Baik 白世潤 Rep 4, 6 2008-07 2008-09
Martin Scott Baker Rep 4 2008-02 2008-05
David S Bakst Rep 4, 6, 9 Pre-2003 2004-07
Maxine Bernice Barnett Rep 1, 2 2008-09 2008-09
Arnaud Marie Daniel Bastit Rep 1, 2 2008-08 2008-08
Roshan Raj Behera Rep 4 2008-09 2008-09
Paul Richard Beresford Rep 1 2006-03 2008-09
Martin Bertsch Rep 1, 2 2007-06 2008-09
Devesh Bhargava Rep 1, 4 2006-08 2006-12
Sarabjit Singh Bhutani Rep 1, 4, 6 2005-05 2008-10
Chenxi Bian 卞晨希 Rep 4 2006-08 2007-01
Sundeep Bihani Rep 4 2004-06 2008-03
Jonathan Quinn Bolon Rep 1, 2 2008-07 2008-09
Natasha Natalie Bonner-Fomes Rep 1, 2 2007-04 2008-09
Eva Maria Bourgeois Rep 1, 2 2008-06 2008-09
William Sterett Bowmer III Rep 1, 4, 6, 7, 9 Pre-2003 2004-07
Stephanie Bradshaw 李婉青 Rep 1, 2 2008-01 2008-09
Jean-Sebastien Pierre Bret Rep 1, 2 2008-05 2008-09
Anthony Brooker Rep 1, 2 2007-07 2008-09
Bahar Brown Rep 1, 2 2006-07 2008-09
Nikolaus Paul Brunner Rep 1, 2 2006-12 2008-09
Ridwan Budijono Rep 4, 6 2005-09 2007-02
Kenneth Virle Burd Rep 1, 4 2006-06 2007-08
Matthew Burgess Rep 1, 2 2008-02 2008-09
Alexander Milligan Burnes Rep 1, 2 2008-05 2008-09
Kevin Michael Caffrey Rep 1, 2 2005-11 2008-09
Thibaut Jean-Manuel Camguilhem Rep 1, 2 2007-04 2008-09
Junyang Cao 曹駿暘 Rep 4 2006-12 2008-09
Anthony Carango Rep 4, 6 2008-01 2008-09
Clayton Root Carol Rep 1, 6 2006-08 2008-09
Rowena Tan Carreon Rep 1, 4 2007-09 2008-09
Jongyoon Chae 蔡鍾允 Rep 4, 6 2008-02 2008-09
Thapana Chairoj Rep 1, 4, 6 2006-08 2008-09
Angello Kam Chi Chan 陳錦池 Rep 4, 6, 9 Pre-2003 2004-05
Anthony Jen Haw Chan 陳甄灝 Rep 4, 6 2007-05 2008-07
Gigi Sau Chi Chan 陳秀沚 Rep 1 2004-03 2005-09
Hong Chan 陳慷 Rep 4, 6 2007-05 2008-09
Johnson Ow Chan 陳贊臣 Rep 1, 2, 4 2008-05 2008-09
Katherine Ching Yu Chan 陳菁瑜 Rep 4 2005-02 2006-07
Kelvin Chun Kei Chan 陳俊祺 Rep 4, 6, 9 Pre-2003 2006-04
Kent W B Chan Rep 4 2007-06 2008-09
Showing 1–100 of 918

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