James Anthony Crispin
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Anthony Crispin, a licensed former licensee with CE reference ANU647. This person has 11.7 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
Rep | Type 1 - Dealing in securities | 2013-05-13 | 2018-10-05 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
Rep | Type 4 - Advising on securities | 2013-05-13 | 2018-10-05 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2010-07-05 | 2013-02-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2010-07-05 | 2013-02-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2010-07-05 | 2013-02-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2010-07-05 | 2013-02-01 |
| HSBC Securities (Asia) Limited | RO | Type 1 - Dealing in securities | 2009-02-16 | 2010-04-29 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
RO | Type 1 - Dealing in securities | 2009-02-16 | 2010-04-29 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-08-18 | 2009-02-16 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as James Anthony Crispin 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.