Simon Dae-Oun Kim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Dae-Oun Kim, a licensed former licensee with CE reference AUV167. This person has 4.0 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2014-06-18 | 2014-09-28 |
| Everbright Securities Global (HK) Limited 光大證券環球（香港）有限公司 |
Rep | Type 1 - Dealing in securities | 2012-02-22 | 2014-05-28 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 - Dealing in securities | 2012-02-22 | 2014-05-28 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-05-04 | 2011-08-25 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-05-04 | 2011-08-25 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2010-05-04 | 2011-08-25 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-03-02 | 2010-05-02 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-03-02 | 2010-05-02 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2010-03-02 | 2010-05-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Simon Dae-Oun 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.