Bum Soo Kim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Bum Soo Kim, a licensed Representative with CE reference AHZ633. Currently licensed at 1 firm(s): Barclays Capital Asia Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. This person has 19.2 years of SFC licence history. Total licence records on file: 17.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2017-08-07 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-08-07 | present |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-06-11 | 2017-03-03 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-06-11 | 2017-03-03 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-02-27 | 2014-03-29 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2013-02-27 | 2014-03-29 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2006-04-18 | 2010-08-16 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2006-04-18 | 2010-08-16 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | 2006-04-18 | 2010-08-16 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | 2006-04-18 | 2010-08-16 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 - Providing automated trading services | 2006-04-18 | 2010-08-16 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-09-14 | 2006-04-15 |
| Paribas Asia Equity Limited 巴黎巴亞洲証券有限公司 |
Rep | Type 1 - Dealing in securities | 2004-09-14 | 2006-04-15 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-09-11 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-09-11 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-09-11 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-09-11 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Bum Soo 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.