Adam Aaron Cowperthwaite
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Adam Aaron Cowperthwaite, a licensed former licensee with CE reference AIB753. This person has 13.3 years of SFC licence history. Total licence records on file: 21.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2017-07-03 | 2020-01-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2014-04-16 | 2020-01-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-04-16 | 2020-01-31 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
Rep | Type 1 - Dealing in securities | 2010-11-20 | 2011-09-03 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-11-20 | 2011-09-03 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 - Dealing in securities | 2010-02-09 | 2011-09-03 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-02-09 | 2011-09-03 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-11-06 | 2009-03-30 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | 2008-11-06 | 2009-03-30 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 - Providing automated trading services | 2005-04-14 | 2008-11-24 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2003-08-20 | 2009-03-30 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2003-08-20 | 2008-11-24 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-07-18 |
| J.P. Morgan Futures Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2003-07-18 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2003-07-18 |
| J.P. Morgan Futures Hong Kong Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-07-18 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-07-18 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-07-18 |
| J.P. Morgan Futures Hong Kong Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-07-18 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-07-18 |
| J.P. Morgan Futures Hong Kong Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-07-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Adam Aaron Cowperthwaite 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.