Travis Lorne Smithson
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Travis Lorne Smithson ( ), a licensed former licensee with CE reference AHE465. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Argonaut Securities (Asia) Limited |
RO | Type 1 — Dealing in securities | 2011-09-08 | 2017-09-20 |
| Argonaut Securities (Asia) Limited |
RO | Type 4 — Advising on securities | 2011-09-08 | 2017-09-20 |
| Argonaut Securities (Asia) Limited |
RO | Type 6 — Advising on corporate finance | 2011-09-08 | 2017-09-20 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | present | 2010-05-26 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2010-05-26 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-12-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | present | 2003-12-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2003-12-02 |