Gautam Saxena
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Gautam Saxena, a licensed former licensee with CE reference AJC402. This person has 1.8 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2015-11-20 | 2015-12-11 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2015-11-20 | 2015-12-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2015-11-20 | 2015-12-11 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2015-11-20 | 2015-12-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2015-11-20 | 2015-12-11 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2015-11-20 | 2015-12-11 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2003-07-29 | 2005-05-10 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2003-07-29 | 2005-05-10 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Gautam Saxena during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.