Kevin Alan Baum
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kevin Alan Baum ( ), a licensed former licensee with CE reference ALJ851. This person has less than 0.1 years of SFC licence history. Total licence records on file: 1.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| OppenheimerFunds International Distributor Limited |
Rep | Type 4 - Advising on securities | 2004-11-01 | 2004-11-14 |
Worked alongside
The 3 closest colleagues, strongest tie first — individuals licensed at the same firm as Kevin Alan Baum during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.