Hong Kong SFC licence institution AAE656, Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司

These are the licence-holders that were found for SFC licence institution AAE656 on the SFC website.

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Key for Role: RE = Respresentative, RO = Responsible Officer

SFC code English name Chinese name Role Activity Start date End date
AAE547 POON Sin Ming, Kenneth 潘羨明 RE Dealing in Securities 2003-04-01 2003-10-09
AAE547 POON Sin Ming, Kenneth 潘羨明 RE Advising on Securities 2003-04-01 2003-08-14
AAE547 POON Sin Ming, Kenneth 潘羨明 RE Advising on Corporate Finance 2003-04-01 2003-08-14
AAE547 POON Sin Ming, Kenneth 潘羨明 RE Providing Automated Trading Services 2003-04-01 2003-08-14
AAE547 POON Sin Ming, Kenneth 潘羨明 RE Asset Management 2003-04-01 2003-08-14
AAF460 WONG Ming Shing 黃明勝 RE Dealing in Securities 2007-11-12 2008-09-29
AAN604 SWEENEY Kirk Chester RO Dealing in Securities 2003-04-01 2008-09-29
AAN604 SWEENEY Kirk Chester RO Advising on Securities 2003-04-01 2003-09-01
AAN604 SWEENEY Kirk Chester RO Advising on Corporate Finance 2003-04-01 2003-09-01
AAN604 SWEENEY Kirk Chester RO Providing Automated Trading Services 2003-04-01 2003-09-01
AAN604 SWEENEY Kirk Chester RO Asset Management 2003-04-01 2003-09-01
ABC138 FOK Kee Hung 霍基雄 RE Dealing in Securities 2003-04-01 2007-08-29
ABC138 FOK Kee Hung 霍基雄 RE Advising on Securities 2003-04-01 2003-08-09
ABC138 FOK Kee Hung 霍基雄 RE Advising on Corporate Finance 2003-04-01 2003-08-09
ABC138 FOK Kee Hung 霍基雄 RE Providing Automated Trading Services 2003-04-01 2003-08-09
ABC138 FOK Kee Hung 霍基雄 RE Asset Management 2003-04-01 2003-08-09
ABM263 PENTON Dominic Jon RE Dealing in Securities 2003-09-10 2004-03-15
ABM263 PENTON Dominic Jon RO Dealing in Securities 2003-04-01 2003-09-04
ABM263 PENTON Dominic Jon RO Dealing in Securities 2004-03-15 2005-05-05
ABM263 PENTON Dominic Jon RO Providing Automated Trading Services 2003-04-01 2003-09-01
ACJ606 KOH Poh Soon RE Dealing in Securities 2003-04-01 2003-04-22
ACJ606 KOH Poh Soon RE Advising on Securities 2003-04-01 2003-04-22
ACJ606 KOH Poh Soon RE Advising on Corporate Finance 2003-04-01 2003-04-22
ACJ606 KOH Poh Soon RE Providing Automated Trading Services 2003-04-01 2003-04-22
ACJ606 KOH Poh Soon RE Asset Management 2003-04-01 2003-04-22
ACU390 CHONG Marco Chun Wah 張俊華 RE Dealing in Securities 2006-04-07 2008-09-29
ACU891 LAI Wai Tsz 黎慧慈 RE Dealing in Securities 2003-10-13 2007-05-14
ADH929 PAINE David L RE Dealing in Securities 2003-04-01 2008-09-29
ADH929 PAINE David L RE Advising on Securities 2003-04-01 2003-08-12
ADH929 PAINE David L RE Advising on Corporate Finance 2003-04-01 2003-09-04
ADH929 PAINE David L RE Providing Automated Trading Services 2003-04-01 2003-08-12
ADH929 PAINE David L RE Asset Management 2003-04-01 2003-08-12
ADJ557 LAM Tai Yuen , David 林大源 RE Dealing in Securities 2003-04-01 2006-03-28
ADJ557 LAM Tai Yuen , David 林大源 RO Dealing in Securities 2006-03-28 2008-09-29
ADJ557 LAM Tai Yuen , David 林大源 RE Advising on Securities 2003-04-01 2003-08-12
ADJ557 LAM Tai Yuen , David 林大源 RE Advising on Corporate Finance 2003-04-01 2003-08-12
ADJ557 LAM Tai Yuen , David 林大源 RE Providing Automated Trading Services 2003-04-01 2003-08-12
ADJ557 LAM Tai Yuen , David 林大源 RE Asset Management 2003-04-01 2003-08-12
ADR043 ADAIR John Joseph RE Dealing in Securities 2007-05-30 2008-09-29
ADR669 MAR Johnson RO Dealing in Securities 2003-04-01 2008-09-29
ADR669 MAR Johnson RO Providing Automated Trading Services 2003-04-01 2003-09-01
ADS012 VENTOURAS Alexis RE Dealing in Securities 2003-04-01 2003-08-06
ADS012 VENTOURAS Alexis RE Advising on Securities 2003-04-01 2003-07-08
ADS012 VENTOURAS Alexis RE Advising on Corporate Finance 2003-04-01 2003-07-08
ADS012 VENTOURAS Alexis RE Providing Automated Trading Services 2003-04-01 2003-08-06
ADS012 VENTOURAS Alexis RE Asset Management 2003-04-01 2003-07-08
ADZ871 CULTURA Crisostomo Medardo Felicisimo 顧鎮廷 RE Dealing in Securities 2003-04-01 2008-09-29
ADZ871 CULTURA Crisostomo Medardo Felicisimo 顧鎮廷 RE Advising on Securities 2003-04-01 2003-08-14
ADZ871 CULTURA Crisostomo Medardo Felicisimo 顧鎮廷 RE Advising on Corporate Finance 2003-04-01 2003-08-14
ADZ871 CULTURA Crisostomo Medardo Felicisimo 顧鎮廷 RE Providing Automated Trading Services 2003-04-01 2003-08-14
ADZ871 CULTURA Crisostomo Medardo Felicisimo 顧鎮廷 RE Asset Management 2003-04-01 2003-08-14
AEB024 BOWMER III William Sterett RE Dealing in Securities 2003-04-01 2004-07-23
AEB024 BOWMER III William Sterett RE Advising on Securities 2003-04-01 2003-08-11
AEB024 BOWMER III William Sterett RE Advising on Corporate Finance 2003-04-01 2003-09-04
AEB024 BOWMER III William Sterett RE Providing Automated Trading Services 2003-04-01 2003-08-11
AEB024 BOWMER III William Sterett RE Asset Management 2003-04-01 2003-08-11
AEC087 CHAN Mei Fung, Shirley 陳美鳳 RE Dealing in Securities 2003-04-01 2008-09-29
AEC087 CHAN Mei Fung, Shirley 陳美鳳 RE Advising on Securities 2003-04-01 2003-08-12
AEC087 CHAN Mei Fung, Shirley 陳美鳳 RE Advising on Corporate Finance 2003-04-01 2003-09-04
AEC087 CHAN Mei Fung, Shirley 陳美鳳 RE Providing Automated Trading Services 2003-04-01 2003-08-12
AEC087 CHAN Mei Fung, Shirley 陳美鳳 RE Asset Management 2003-04-01 2003-08-12
AEC763 KEE Tang Seng RE Dealing in Securities 2003-08-20 2006-04-10
AEC763 KEE Tang Seng RO Dealing in Securities 2006-04-10 2008-09-29
AED614 LUK Ching Yan, Sylvia 陸靜茵 RE Dealing in Securities 2005-01-14 2005-10-14
AED614 LUK Ching Yan, Sylvia 陸靜茵 RE Dealing in Securities 2005-11-25 2008-09-29
AEE163 WATSON Alan James David RE Dealing in Securities 2003-04-01 2003-08-09
AEE163 WATSON Alan James David RE Advising on Securities 2003-04-01 2003-08-09
AEE163 WATSON Alan James David RE Advising on Corporate Finance 2003-04-01 2003-08-09
AEE163 WATSON Alan James David RE Providing Automated Trading Services 2003-04-01 2003-08-09
AEE163 WATSON Alan James David RE Asset Management 2003-04-01 2003-08-09
AEL830 LANCE Robert Waldo RE Dealing in Securities 2003-04-23 2003-12-12
AEL830 LANCE Robert Waldo RE Dealing in Securities 2004-07-20 2005-06-24
AEL830 LANCE Robert Waldo RO Dealing in Securities 2003-12-12 2004-07-11
AEL830 LANCE Robert Waldo RO Dealing in Securities 2005-06-24 2006-02-24
AEL830 LANCE Robert Waldo RE Providing Automated Trading Services 2003-06-03 2003-09-04
AET869 WONG Kai Lap , Eric 黃啟立 RE Dealing in Securities 2006-11-01 2007-03-29
AET869 WONG Kai Lap , Eric 黃啟立 RO Dealing in Securities 2007-03-29 2007-05-21
AFC433 YEUNG Kei Yuen 楊紀元 RE Dealing in Securities 2008-04-18 2008-09-29
AFF887 LEUNG Jenkin Ching Kei 梁正己 RO Dealing in Securities 2004-10-13 2005-07-28
AFH089 KINNEAR-NOCK Scott William RE Dealing in Securities 2008-05-16 2008-09-29
AFK088 HEMMINGS Lee Kerry RE Dealing in Securities 2007-07-03 2008-03-03
AFK088 HEMMINGS Lee Kerry RO Dealing in Securities 2008-03-03 2008-09-29
AFQ412 O'MEARA Christopher James Sidney RE Dealing in Securities 2003-04-24 2006-04-28
AFQ412 O'MEARA Christopher James Sidney RE Dealing in Securities 2006-11-27 2008-09-29
AFQ412 O'MEARA Christopher James Sidney RO Dealing in Securities 2006-04-28 2006-11-27
AFQ412 O'MEARA Christopher James Sidney RE Providing Automated Trading Services 2003-06-03 2003-09-04
AFQ736 LAM Chuk Nga, Lana 林竹雅 RE Dealing in Securities 2007-08-10 2008-05-21
AFR464 CHOON Yew Khee 秦耀奇 RE Dealing in Securities 2006-07-25 2008-03-05
AFV847 CHANG Randy Chung-Hsia 張崇夏 RE Dealing in Securities 2007-08-30 2008-09-29
AGA423 CO Liza Yap RE Dealing in Securities 2004-10-12 2005-04-20
AGA950 SHEK Ho Yin, Leo 石浩然 RE Dealing in Securities 2007-05-04 2008-03-13
AGF152 LEE Yuan Tse, Edward 李淵智 RE Dealing in Securities 2003-04-01 2005-06-29
AGF152 LEE Yuan Tse, Edward 李淵智 RE Advising on Securities 2003-04-01 2003-08-21
AGF152 LEE Yuan Tse, Edward 李淵智 RE Advising on Corporate Finance 2003-04-01 2003-09-04
AGF152 LEE Yuan Tse, Edward 李淵智 RE Providing Automated Trading Services 2003-04-01 2003-08-21
AGF152 LEE Yuan Tse, Edward 李淵智 RE Asset Management 2003-04-01 2003-08-21
AGH168 LAU Joseph Han Wai 劉恆瑋 RE Dealing in Securities 2007-07-04 2008-09-29
AGJ649 NICHOLS David RO Dealing in Securities 2007-10-23 2008-09-29
AGM506 CHEUNG Edward Tze Loong 張澤龍 RE Dealing in Securities 2004-08-06 2008-05-21
AGN695 YUEN Hoi See 袁凱詩 RE Dealing in Securities 2003-04-01 2004-07-21
AGN695 YUEN Hoi See 袁凱詩 RE Advising on Securities 2003-04-01 2003-08-15
AGN695 YUEN Hoi See 袁凱詩 RE Advising on Corporate Finance 2003-04-01 2003-08-15
AGN695 YUEN Hoi See 袁凱詩 RE Providing Automated Trading Services 2003-04-01 2003-08-15
AGN695 YUEN Hoi See 袁凱詩 RE Asset Management 2003-04-01 2003-08-15
AGV336 CHAU Yiu Man, Kenneth 周耀文 RE Dealing in Securities 2008-05-21 2008-09-29
AHS150 GOFF John Swafford RE Dealing in Securities 2008-06-06 2008-09-29
AHX011 KAROONYAVANICH Anuruk RE Dealing in Securities 2007-04-12 2008-09-29
AIB938 KIM Susan Eun RE Dealing in Securities 2008-08-14 2008-09-29
AID159 MAK Yuen Man, Marian 麥沅雯 RE Dealing in Securities 2005-03-10 2007-04-10
AIL062 FLETCHER Luke RE Dealing in Securities 2007-05-25 2008-09-29
AIQ970 HIGHFIELD Tucker Montana RE Dealing in Securities 2003-04-16 2004-05-25
AIQ970 HIGHFIELD Tucker Montana RE Advising on Corporate Finance 2003-04-16 2003-09-04
AJK539 HOLT Sue Lin RE Dealing in Securities 2004-02-18 2008-09-29
AJO315 NIRMALANANDA Logan Siva RE Dealing in Securities 2004-03-19 2007-05-14
AJX178 HONG Joonkee 洪俊基 RE Dealing in Securities 2005-04-15 2008-09-29
AKP035 PERRETT Adam Nicholas 龐立德 RE Dealing in Securities 2004-05-14 2006-04-11
AKP199 SHIN Stephen Hyunsang 申鉉尚 RE Dealing in Securities 2005-07-11 2005-11-14
AKR467 LEUNG Wai Kei 梁偉基 RE Dealing in Securities 2008-05-30 2008-09-29
ALJ848 OH Seung Joo 吳昇宙 RE Dealing in Securities 2004-11-01 2005-06-17
ALQ958 TAN Yun Yang 陳韻揚 RE Dealing in Securities 2005-01-26 2006-07-29
ALR680 FUNG Ching Ho, William 馮正可 RE Dealing in Securities 2005-02-01 2008-09-29
ALU283 TONG Derek Wai Hon 唐偉瀚 RE Dealing in Securities 2007-08-23 2008-09-29
ALW391 RAMSEY Michael Ryan RE Dealing in Securities 2007-06-01 2008-09-29
AMF013 DOUGLAS David Archibald RE Dealing in Securities 2005-07-06 2006-01-09
AMF013 DOUGLAS David Archibald RO Dealing in Securities 2006-01-09 2008-08-06
AMH715 ARNAUDY Anthony John RE Dealing in Securities 2005-08-01 2008-09-29
AMJ471 LIN Xin 林鑫 RE Dealing in Securities 2005-08-15 2008-09-29
AMY049 LEE Calvin Chi Toa 李智滔 RE Dealing in Securities 2007-08-01 2008-09-29
AMY555 TONG Tung Kiu 湯東橋 RE Dealing in Securities 2008-01-23 2008-09-10
ANB457 LEE Joseph Won RE Dealing in Securities 2007-10-02 2008-09-29
ANB463 LO Yue Hin 羅宇軒 RE Dealing in Securities 2008-08-08 2008-09-29
ANE752 LOH Jenn Yeh, Adrian RE Dealing in Securities 2006-05-26 2007-03-19
ANG453 FUNG Suk Han, Selina 馮淑嫻 RE Dealing in Securities 2006-04-04 2008-09-29
ANK153 LIM Seng Chong, Terence 林成忠 RE Dealing in Securities 2006-05-17 2008-09-29
ANL835 HALLIWELL Thomas Alan RE Dealing in Securities 2007-05-14 2008-09-29
ANQ293 LEUNG Cheuk Shun, Jackson 梁卓信 RE Dealing in Securities 2006-07-11 2008-09-29
ANT454 CHANG Lu Lu 張路路 RE Dealing in Securities 2006-08-07 2008-09-29
ANT739 WAI Derek Ho Kuen 衛浩權 RE Dealing in Securities 2006-08-09 2007-09-03
ANT920 WALDRON Joseph Francis RE Dealing in Securities 2006-08-10 2008-02-27
ANU763 CHUNG Kah Yi RE Dealing in Securities 2007-05-22 2008-04-17
ANU766 YUN Cheuk Ting Sara 甄灼婷 RE Dealing in Securities 2006-08-17 2008-09-29
ANZ880 SIA Siew Leng RE Dealing in Securities 2006-09-25 2007-08-26
AOB713 LI Sin King, Cherry 李倩琼 RE Dealing in Securities 2006-10-23 2008-03-20
AOB715 LAW Karen Yik Ki 羅亦琦 RE Dealing in Securities 2006-10-23 2008-09-29
AOD001 DOE Jocelyn Jee Eun RE Dealing in Securities 2006-11-01 2008-09-29
AOG294 LEE Suh Yung RE Dealing in Securities 2006-11-29 2008-04-16
AOH882 YEE Jack Sam RE Dealing in Securities 2006-12-21 2008-09-29
AOI871 SANTILLI Filippo RE Dealing in Securities 2006-12-20 2008-03-20
AOP097 LEUNG Helen 梁浩雯 RE Dealing in Securities 2007-02-22 2008-03-20
AOP101 WILKINSON Marie Despina Elisabeth RE Dealing in Securities 2007-02-22 2008-09-29
AOQ538 QIU Lin 邱林 RE Dealing in Securities 2007-03-02 2008-09-29
AOR646 SAM Yu Lik, Eric 沈宇力 RE Dealing in Securities 2007-03-09 2008-09-29
AOS008 LEE Dennis Pui Yan 李沛欣 RE Dealing in Securities 2007-03-14 2008-09-29
AOS215 LIM James Teik Beng RE Dealing in Securities 2007-03-16 2008-09-29
AOT774 YUAN Joyce Dian RE Dealing in Securities 2007-04-02 2008-09-29
AOV039 ONG Simon Wui Shiang RE Dealing in Securities 2007-04-25 2008-09-29
AOV191 CHONG Kenny 莊嘉麟 RE Dealing in Securities 2007-04-20 2008-09-29
AOV764 CAMGUILHEM Jean-Manuel, Thibaut RE Dealing in Securities 2008-08-08 2008-09-29
APB403 WANG Jing 王睛 RE Dealing in Securities 2007-07-17 2008-09-10
APC027 TAI Waini Karen 戴維妮 RE Dealing in Securities 2007-06-20 2008-05-22
APC693 BERTSCH Martin RE Dealing in Securities 2007-06-22 2008-09-29
APF774 SHIU Flora Ka Yan 邵家欣 RE Dealing in Securities 2007-07-12 2008-09-29
APG361 PANG Yan 龐艷 RE Dealing in Securities 2007-07-13 2008-09-29
APG513 CHOI Hye Jin RE Dealing in Securities 2007-07-18 2008-09-29
APH298 LEE Chin Keng 李俊慶 RE Dealing in Securities 2007-07-23 2008-09-10
APH429 GERHART David Charles RE Dealing in Securities 2007-07-20 2007-11-20
APH488 FOK Chung Yin 霍聰賢 RE Dealing in Securities 2007-07-27 2008-09-29
APJ346 CHOI Jae Joon RE Dealing in Securities 2007-08-21 2008-09-29
APJ348 NICOT Cynthia RE Dealing in Securities 2007-08-03 2008-09-29
APJ993 HO Catherine Kai-Yung 何開容 RE Dealing in Securities 2007-08-14 2008-09-29
APK588 SESHAN Nikhil Harish RE Dealing in Securities 2007-08-16 2008-09-29
APK589 LALGUDI GURUMURTHY Madhu Subramanian RE Dealing in Securities 2007-08-16 2008-09-29
APK590 PAI Arun Madhavaraya RE Dealing in Securities 2007-08-16 2007-09-24
APK592 SEKHARAN Tina RE Dealing in Securities 2007-08-16 2008-06-19
APK593 SUBRAMANIAN Viswanathan R RE Dealing in Securities 2007-08-16 2008-09-29
APK596 SARKAR Kevin Deven RE Dealing in Securities 2007-08-16 2008-05-27
APL242 WU Bun Lerd Bernard 胡斌畧 RE Dealing in Securities 2007-08-22 2008-05-22
APL244 MAK Hin Chun 麥顯俊 RE Dealing in Securities 2007-08-22 2008-09-29
APL794 KHACHATRYAN Astghik RE Dealing in Securities 2007-08-27 2008-09-29
APM161 ZHOU Xu Xiang 周栩翔 RE Dealing in Securities 2007-08-30 2008-09-29
APN836 WEBB Jordan Wallace RE Dealing in Securities 2007-08-31 2008-09-29
APN838 WARHURST Paul Simon RE Dealing in Securities 2007-09-04 2008-09-29
APP054 DING Yong 丁勇 RE Dealing in Securities 2007-09-13 2008-09-29
APQ725 YAO Jack Hsin-Chou 姚信州 RE Dealing in Securities 2007-09-14 2008-09-29
APR259 NOBLE Scott Clifford RE Dealing in Securities 2007-09-20 2008-09-29
APU514 MURRAY Hugh Mcpherson Lathrop RE Dealing in Securities 2007-10-12 2008-09-29
APX217 WANG Yan 王炎 RE Dealing in Securities 2007-10-30 2008-09-29
APZ644 CIPRESSO Michael Armond RE Dealing in Securities 2007-11-12 2007-12-22
AQA803 KOENEN JR Austin Voorhees RE Dealing in Securities 2007-11-27 2008-09-29
AQA804 DI IORIO Michael Anthony RE Dealing in Securities 2007-11-22 2008-09-29
AQD051 THORKELSSON Sigurbjorn RE Dealing in Securities 2007-12-11 2008-09-29
AQF257 FENG Shuang 馮爽 RE Dealing in Securities 2008-01-04 2008-09-29
AQG685 JAIN Varnit RE Dealing in Securities 2008-01-10 2008-09-29
AQI268 LEE Kar Woon, Karen 李嘉媛 RE Dealing in Securities 2008-01-16 2008-09-29
AQJ780 FELDKAMP Geoffrey Frederick RE Dealing in Securities 2008-01-30 2008-09-29
AQL411 LACHS Jessica Lee RE Dealing in Securities 2008-02-06 2008-07-06
AQM403 CHANG Wei-Chun 張維君 RE Dealing in Securities 2008-02-14 2008-09-29
AQM587 SOWINSKI John Anthony RE Dealing in Securities 2008-02-15 2008-09-29
AQN412 HASKAMP Michael Oliver 何敏行 RE Dealing in Securities 2008-02-22 2008-09-29
AQO522 XIE Jinhui 謝錦慧 RE Dealing in Securities 2008-04-02 2008-09-29
AQT254 KIM Hong Il 金洪溢 RE Dealing in Securities 2008-04-03 2008-09-29
AQY695 SONG Di 宋迪 RE Dealing in Securities 2008-04-30 2008-09-29
ARA886 DASGUPTA Anindya RE Dealing in Securities 2008-05-20 2008-09-29
ARB440 KOO Ginam RE Dealing in Securities 2008-05-26 2008-09-29
ARB932 ROBINSON Paul Allan RE Dealing in Securities 2008-05-27 2008-08-27
ARH276 BOLON Jonathan Quinn RE Dealing in Securities 2008-07-14 2008-09-29
ARJ836 NG Yan Lam, Bosco 吳欣霖 RE Dealing in Securities 2008-08-01 2008-09-29
ARM307 HO Alexander Da Yung RE Dealing in Securities 2008-08-27 2008-09-29
ARM308 CHEUNG Hoi Tai, Andy 張海泰 RE Dealing in Securities 2008-08-29 2008-09-29
ARN827 XIE Peng 謝鵬 RE Dealing in Securities 2008-08-28 2008-09-29
ARO146 LEUNG Wai Sum, Sandy 梁慧心 RE Dealing in Securities 2008-09-01 2008-09-29

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