Thomas James Allen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas James Allen ( ), CE reference BTL131. Currently licensed at 1 firm(s): UBS Securities Asia Limited. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2026-03-27 | present |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2025-11-24 | 2025-11-27 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2025-03-17 | 2025-03-21 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2024-11-29 | 2024-12-05 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2024-02-05 | 2024-02-09 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2023-02-02 | 2023-02-10 |