Putterill, Adam Thomas James
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 corporate finance | 2003-04-29 | Rep | Asset management | 2003-04-29 | Rep | Advising on securities | 2003-04-30 | Rep | Automated trading services | 2003-04-30 | Rep | Dealing in securities | 2003-04-30 | RO | Automated trading services | 2003-04-30 | 2003-12-02 | RO | Advising on securities | 2003-04-30 | 2010-05-13 | RO | Dealing in securities | 2003-04-30 | 2010-05-13 | Rep | Advising on securities | 2010-05-13 | 2010-11-04 | Rep | Dealing in securities | 2010-05-13 | 2010-11-04 |
| 2 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | RO | Automated trading services | 2004-08-30 | 2005-02-15 | RO | Advising on securities | 2004-08-30 | 2010-05-13 | RO | Dealing in securities | 2004-08-30 | 2010-05-13 | Rep | Advising on securities | 2010-05-13 | 2010-07-27 | Rep | Dealing in securities | 2010-05-13 | 2010-07-27 |
| 3 | Jefferies Hong Kong Limited | Rep | Dealing in securities | 2011-02-01 | Rep | Advising on securities | 2011-02-01 | 2012-11-14 |
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