Adam Thomas James Putterill
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Adam Thomas James Putterill ( ), a licensed former licensee with CE reference ABG123. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 — Dealing in securities | 2011-02-01 | 2025-05-08 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 4 — Advising on securities | 2011-02-01 | 2012-11-14 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-05-13 | 2010-11-04 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2010-05-13 | 2010-07-27 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2010-05-13 | 2010-11-04 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2010-05-13 | 2010-07-27 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 1 — Dealing in securities | 2004-08-30 | 2010-05-13 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 4 — Advising on securities | 2004-08-30 | 2010-05-13 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 7 — Providing automated trading services | 2004-08-30 | 2005-02-15 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2003-04-30 | 2010-05-13 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2003-04-30 | 2010-05-13 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 7 — Providing automated trading services | 2003-04-30 | 2003-12-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | present | 2003-04-30 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2003-04-30 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-04-29 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | present | 2003-04-30 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2003-04-29 |