Tracy Ann Windham
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tracy Ann Windham, a licensed former licensee with CE reference APD887. This person has 7.0 years of SFC licence history. Total licence records on file: 2.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-08-16 | 2014-08-31 |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | 2007-08-16 | 2014-08-31 |
Worked alongside
The 12 closest colleagues, strongest tie first — individuals licensed at the same firm as Tracy Ann Windham 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.
| Name | Shared firm | Overlap |
|---|---|---|
| Robert Earl Young | Liquidnet Asia Limited | 2007–2014 |
| Lee Porter | Liquidnet Asia Limited | 2008–2014 |
| Chung Wing Alfred Lee | Liquidnet Asia Limited | 2009–2014 |
| William Rowley Aird | Liquidnet Asia Limited | 2007–2011 |
| Richard Leo Sheridan | Liquidnet Asia Limited | 2012–2014 |
| Amy Monique Forde | Liquidnet Asia Limited | 2012–2014 |
| Kelvin Kar Wing Ung | Liquidnet Asia Limited | 2011–2013 |
| David Anthony Klinger | Liquidnet Asia Limited | 2007–2009 |
| Stuart Michael Thompson | Liquidnet Asia Limited | 2013–2014 |
| Kate Elizabeth Weidenhofer | Liquidnet Asia Limited | 2011 |
| Karen Kin Ling Leung | Liquidnet Asia Limited | 2014 |
| William Carter Brereton | Liquidnet Asia Limited | 2014 |