Putnam, David Paul
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.
Some data are hidden to fit your display. Rotate?
| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | ANGLO CHINESE CORPORATE FINANCE, LIMITED (HK) | Rep | Advising on corporate finance | 2022-01-11 | Rep | Advising on securities | 2022-01-11 | Rep | Dealing in securities | 2022-01-11 |
| 2 | Citigroup Global Markets Asia Limited | Rep | Advising on securities | 2005-03-03 | Rep | Asset management | 2005-03-03 | Rep | Automated trading services | 2005-03-03 | Rep | Advising on corporate finance | 2006-08-31 | Rep | Dealing in securities | 2006-08-31 |
| 3 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in securities | 2005-04-13 | 2006-08-31 |
| 4 | Houlihan Lokey (China) Limited | RO | Advising on corporate finance | 2008-10-09 | 2013-05-26 | RO | Advising on securities | 2008-10-09 | 2013-05-26 | RO | Dealing in securities | 2008-10-09 | 2013-05-26 | Rep | Advising on corporate finance | 2013-06-24 | 2014-06-06 | Rep | Advising on securities | 2013-06-24 | 2014-06-06 | Rep | Dealing in securities | 2013-06-24 | 2014-06-06 |
| 5 | HOULIHAN LOKEY (EUROPE) LIMITED | RO | Advising on corporate finance | 2007-05-15 | 2009-03-31 | RO | Advising on securities | 2007-05-15 | 2009-03-31 | RO | Dealing in securities | 2007-05-15 | 2009-03-31 |
Sign up for our free newsletter
Recommend Webb-site to a friend
Copyright & disclaimer, Privacy policy