Williams, Douglas Brock
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 | LEHMAN BROTHERS ASIA LIMITED | Rep | Advising on securities | 2008-04-29 | 2008-11-05 | Rep | Dealing in securities | 2008-04-29 | 2008-11-05 |
| 2 | Neuberger Berman Asia Limited | Rep | Advising on securities | 2008-11-25 | 2017-07-14 | Rep | Dealing in securities | 2008-11-25 | 2017-07-14 | Rep | Asset management | 2009-10-30 | 2017-07-14 |
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