Kim, Thomas Sang
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on securities | 2007-07-26 | 2012-04-02 | Rep | Dealing in securities | 2007-09-28 | 2012-04-02 |
| 2 | LEHMAN BROTHERS ASIA LIMITED | Rep | Advising on securities | 2006-08-04 | 2007-06-08 |
| 3 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2004-02-11 | Rep | Automated trading services | 2004-02-11 | Rep | Advising on securities | 2004-08-11 | Rep | Dealing in securities | 2004-08-11 |
| 4 | UBS SECURITIES ASIA LIMITED | Rep | Advising on securities | 2004-09-01 | 2006-07-29 |
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