Thomas Michael Brennan Jr
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Michael Brennan Jr ( ), a licensed former licensee with CE reference ALS353. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wells Fargo Securities Asia Limited | Rep | Type 9 — Asset management | 2019-01-03 | 2019-05-31 |
| Wells Fargo Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2018-09-14 | 2019-05-31 |
| Wells Fargo Securities Asia Limited | Rep | Type 4 — Advising on securities | 2018-09-14 | 2019-05-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-10-27 | 2006-11-10 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-08-29 | 2005-09-04 |