Thomas William Herbert
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas William Herbert, a licensed former licensee with CE reference BAI196. This person has 6.7 years of SFC licence history. Total licence records on file: 6.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2016-12-19 | 2019-07-13 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2016-12-19 | 2019-07-13 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2012-11-01 | 2019-07-13 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2012-11-01 | 2016-12-18 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2012-11-01 | 2019-07-13 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2012-11-01 | 2016-12-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Thomas William Herbert 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.