Timothy James Lock
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Timothy James Lock, a licensed former licensee with CE reference AXQ297. This person has 10.9 years of SFC licence history. Total licence records on file: 18.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2024-01-09 | 2024-01-12 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2024-01-09 | 2024-01-12 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2024-01-09 | 2024-01-12 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2024-01-09 | 2024-01-12 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-10-24 | 2023-10-27 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2023-10-24 | 2023-10-27 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2023-10-24 | 2023-10-27 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2023-10-24 | 2023-10-27 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2023-05-29 | 2023-06-02 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2023-05-29 | 2023-06-02 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2023-05-29 | 2023-06-02 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2023-05-29 | 2023-06-02 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2016-12-19 | 2022-05-31 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2016-12-19 | 2022-05-31 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2011-07-18 | 2022-05-31 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2011-07-18 | 2016-12-18 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2011-07-18 | 2022-05-31 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2011-07-18 | 2016-12-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Timothy James Lock 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.