Alec Benjamin Baum
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alec Benjamin Baum, a licensed former licensee with CE reference BEF848. This person has 0.9 years of SFC licence history. Total licence records on file: 3.
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 | 2014-09-29 | 2015-09-07 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2014-09-29 | 2015-09-07 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 - Advising on corporate finance | 2014-09-29 | 2015-09-07 |