Wai Ming Tham
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Ming Tham (譚維明), a licensed Representative with CE reference BAZ626. Currently licensed at 1 firm(s): Haitong International Securities Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 11.5 years of SFC licence history. Total licence records on file: 15.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2025-07-24 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2025-07-24 | present |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 1 - Dealing in securities | 2024-03-12 | 2024-05-23 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 4 - Advising on securities | 2024-03-12 | 2024-05-23 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 9 - Asset management | 2024-03-12 | 2024-05-23 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 - Dealing in securities | 2022-05-24 | 2023-12-29 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 9 - Asset management | 2022-05-24 | 2023-12-29 |
| UZen Securities Limited 眾宸證券有限公司 |
Rep | Type 1 - Dealing in securities | 2019-09-18 | 2021-12-15 |
| Opus Capital Management Limited 創富資本管理有限公司 |
Rep | Type 9 - Asset management | 2019-09-18 | 2021-12-15 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 9 - Asset management | 2018-02-12 | 2019-09-05 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 1 - Dealing in securities | 2017-08-31 | 2019-09-05 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 4 - Advising on securities | 2017-08-31 | 2019-09-05 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2016-12-02 | 2017-08-27 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2015-11-16 | 2017-08-27 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 1 - Dealing in securities | 2013-03-08 | 2015-11-06 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Wai Ming Tham 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.