Putnam, David Paul

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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 ANGLO CHINESE CORPORATE FINANCE, LIMITED (HK) Rep Advising on corporate finance 2022-01-11
2 ANGLO CHINESE CORPORATE FINANCE, LIMITED (HK) Rep Advising on securities 2022-01-11
3 ANGLO CHINESE CORPORATE FINANCE, LIMITED (HK) Rep Dealing in securities 2022-01-11
4 Citigroup Global Markets Asia Limited Rep Advising on securities 2005-03-03
5 Citigroup Global Markets Asia Limited Rep Asset management 2005-03-03
6 Citigroup Global Markets Asia Limited Rep Automated trading services 2005-03-03
7 Citigroup Global Markets Asia Limited Rep Advising on corporate finance 2006-08-31
8 Citigroup Global Markets Asia Limited Rep Dealing in securities 2006-08-31
9 CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED Rep Dealing in securities 2005-04-13 2006-08-31
10 HOULIHAN LOKEY (EUROPE) LIMITED RO Advising on corporate finance 2007-05-15 2009-03-31
11 HOULIHAN LOKEY (EUROPE) LIMITED RO Advising on securities 2007-05-15 2009-03-31
12 HOULIHAN LOKEY (EUROPE) LIMITED RO Dealing in securities 2007-05-15 2009-03-31
13 Houlihan Lokey (China) Limited RO Advising on corporate finance 2008-10-09 2013-05-26
14 Houlihan Lokey (China) Limited RO Advising on securities 2008-10-09 2013-05-26
15 Houlihan Lokey (China) Limited RO Dealing in securities 2008-10-09 2013-05-26
16 Houlihan Lokey (China) Limited Rep Advising on corporate finance 2013-06-24 2014-06-06
17 Houlihan Lokey (China) Limited Rep Advising on securities 2013-06-24 2014-06-06
18 Houlihan Lokey (China) Limited Rep Dealing in securities 2013-06-24 2014-06-06

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