Thomas Frederick Faulkner
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Frederick Faulkner, a licensed former licensee with CE reference BBY700. This person has 0.2 years of SFC licence history. Total licence records on file: 3.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ballingal Investment Advisors Limited | Rep | Type 4 - Advising on securities | 2013-10-24 | 2013-12-31 |
| Ballingal Investment Advisors Limited | Rep | Type 5 - Advising on futures contracts | 2013-10-24 | 2013-12-31 |
| Ballingal Investment Advisors Limited | Rep | Type 9 - Asset management | 2013-10-24 | 2013-12-31 |
Worked alongside
The 9 closest colleagues, strongest tie first — individuals licensed at the same firm as Thomas Frederick Faulkner 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.