Sam is an Executive Vice President with Thomas Ho Company (THC). THC is a leading financial engineering firm and Asset Liability Management (ALM) Solutions provider to regional banks and credit unions. THC was named one of the two best ALM vendors of the 21st century Bank Asset/Liability Management by A.S. Pratt in 2014.

He is also leading the effort in Global Markets Advisory Group (GMAG)’s U.S. and International Exchange Listing Advisory practice.  His extensive knowledge of financial services and broker dealer regulatory compliance experience have well served GMAG’s clients with pre-IPO readiness to achieve U.S. Exchange listing. His expertise lies in new business development and relationship building, specializing in the emerging capital markets throughout Asia and the U.S.  During his tenure at the New York Stock Exchange (NYSE), Sam secured the listings of more than 46 companies on the NYSE with total market capitalization exceeding $5 billion.

He spent five years at the Financial Industry Regulatory Authority (FINRA) in various roles such as Trading and Financial Compliance Examinations, Sales Practice and Financial Risk Oversight & Operational Regulation. Mostly, he focused on FINRA’s Sales Practice, covering Financial Technology broker dealers, Investment Advisors, Investment Banking and Merger and Acquisition advisory firms. 　His work resulted in two enforcement cases settlement involving Cybersecurity and Research Communication.

He serves as a board member of the Asian Financial Society, a non-profit organization which assists Asian companies to understand the U.S. capital market.  He is fluent in Cantonese with conversational knowledge of Mandarin and Vietnamese. He received his BS in Finance from St. Johns University (US) and his MBA from Cornell University (US).