Thomas Wilbur Baxter
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Wilbur Baxter, a licensed former licensee with CE reference AYY701. This person has 7.4 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| T. Rowe Price Hong Kong Limited 普徠仕香港有限公司 |
RO | Type 4 - Advising on securities | 2019-12-20 | 2020-07-31 |
| T. Rowe Price Hong Kong Limited 普徠仕香港有限公司 |
RO | Type 9 - Asset management | 2019-12-20 | 2020-07-31 |
| T. Rowe Price Hong Kong Limited 普徠仕香港有限公司 |
Rep | Type 1 - Dealing in securities | 2019-12-11 | 2020-07-31 |
| T. Rowe Price Hong Kong Limited 普徠仕香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2019-12-11 | 2020-07-31 |
| T. Rowe Price Hong Kong Limited 普徠仕香港有限公司 |
Rep | Type 4 - Advising on securities | 2019-12-11 | 2019-12-20 |
| T. Rowe Price Hong Kong Limited 普徠仕香港有限公司 |
Rep | Type 9 - Asset management | 2019-12-11 | 2019-12-20 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
Rep | Type 4 - Advising on securities | 2016-12-01 | 2018-12-31 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
RO | Type 1 - Dealing in securities | 2013-05-15 | 2018-12-31 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
RO | Type 2 - Dealing in futures contracts | 2013-05-15 | 2018-12-31 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
RO | Type 9 - Asset management | 2012-03-20 | 2018-12-31 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Thomas Wilbur Baxter 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.