Russell Frank Cummer
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Russell Frank Cummer ( ), a licensed former licensee with CE reference AGL156. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2007-10-03 | 2008-02-02 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-10-03 | 2008-02-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | present | 2003-04-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | present | 2003-04-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | present | 2003-04-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | present | 2003-04-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | present | 2003-04-12 |