Thomas Rhoads Frick
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Rhoads Frick, a licensed former licensee with CE reference BFJ278. This person has 3.3 years of SFC licence history. Total licence records on file: 2.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Excelsior Capital Asia (HK) Limited 溢盛亞洲投資管理有限公司 |
Rep | Type 4 - Advising on securities | 2018-09-04 | 2022-01-05 |
| Excelsior Capital Asia (HK) Limited 溢盛亞洲投資管理有限公司 |
Rep | Type 9 - Asset management | 2018-09-04 | 2022-01-05 |
Worked alongside
The 5 closest colleagues, strongest tie first — individuals licensed at the same firm as Thomas Rhoads Frick 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 |
|---|---|---|
| Dicken Chiu | Excelsior Capital Asia (HK) Limited | 2018–2022 |
| Gary Martin Lawrence | Excelsior Capital Asia (HK) Limited | 2018–2022 |
| John Kin Ping Yang | Excelsior Capital Asia (HK) Limited | 2018–2022 |
| Jung Hyung Cho | Excelsior Capital Asia (HK) Limited | 2018–2019 |
| Stefan Andre Pouliot | Excelsior Capital Asia (HK) Limited | 2021–2022 |