Tao Thomas Wu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tao Thomas Wu, a licensed former licensee with CE reference AUA520. This person has 2.0 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
RO | Type 1 - Dealing in securities | 2012-01-04 | 2013-12-31 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
RO | Type 4 - Advising on securities | 2012-01-04 | 2013-12-31 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
RO | Type 9 - Asset management | 2012-01-04 | 2013-12-31 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 - Advising on securities | 2010-01-28 | 2010-01-29 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 - Advising on securities | 2009-11-02 | 2009-11-06 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tao Thomas Wu 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.