Anna Yen Kim
嚴立恬
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Anna Yen Kim (嚴立恬), a licensed former licensee with CE reference ANG466. This person has 4.8 years of SFC licence history. Total licence records on file: 11.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Leading Securities Company Limited 立鼎證券有限公司 |
Rep | Type 1 - Dealing in securities | 2016-05-10 | 2016-08-29 |
| Leading Securities Company Limited 立鼎證券有限公司 |
Rep | Type 4 - Advising on securities | 2016-05-10 | 2016-08-29 |
| Leading Securities Company Limited 立鼎證券有限公司 |
Rep | Type 9 - Asset management | 2016-05-10 | 2016-08-29 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2010-06-28 | 2013-01-23 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2010-06-28 | 2013-01-23 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2010-06-28 | 2013-01-23 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2010-06-28 | 2013-01-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2006-04-03 | 2008-03-14 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2006-04-03 | 2008-03-14 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2006-04-03 | 2008-03-14 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2006-04-03 | 2008-03-14 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Anna Yen Kim 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.