Wells, Alan Frank
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 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2022-08-29 | |
| 2 | CLSA LIMITED | Rep | Advising on securities | 2015-07-15 | 2016-01-06 | Ord Minnett Hong Kong Limited | Rep | 2016-06-14 | 2017-08-16 |
| 3 | Credit Suisse Securities (Hong Kong) Limited | Rep | Automated trading services | 2017-12-05 | 2022-06-02 |
| 4 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2017-12-05 | 2022-06-02 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | 2022-08-29 |
| 5 | Ord Minnett Hong Kong Limited | Rep | Dealing in securities | 2016-06-14 | 2017-08-16 | Credit Suisse (Hong Kong) Limited | Rep | 2017-12-05 | 2022-06-02 | Credit Suisse Securities (Hong Kong) Limited | Rep | 2017-12-05 | 2022-06-02 |
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