Thomas Rhoads Frick
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Rhoads Frick ( ), a licensed former licensee with CE reference BFJ278. Total licence records on file: 2.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Excelsior Capital Asia (HK) Limited 溢盛亞洲投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2018-09-04 | 2022-01-05 |
| Excelsior Capital Asia (HK) Limited 溢盛亞洲投資管理有限公司 |
Rep | Type 9 — Asset management | 2018-09-04 | 2022-01-05 |