Gautam Sareen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Gautam Sareen, a licensed Representative with CE reference ASF060. Currently licensed at 1 firm(s): J.P. Morgan Securities (Far East) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 10.8 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | 2022-07-11 | present |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2022-07-11 | present |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 - Advising on corporate finance | 2022-07-11 | present |
| Nan Fung Trinity (HK) Limited | Rep | Type 1 - Dealing in securities | 2021-12-08 | 2022-05-31 |
| Nan Fung Trinity (HK) Limited | Rep | Type 4 - Advising on securities | 2021-12-08 | 2022-05-31 |
| Nan Fung Trinity (HK) Limited | Rep | Type 9 - Asset management | 2021-12-08 | 2022-05-31 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2009-01-02 | 2015-04-17 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-01-02 | 2015-04-17 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | 2009-01-02 | 2015-04-17 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Gautam Sareen 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.