Stephane David Serfati
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephane David Serfati, a licensed Representative with CE reference BGA752. Currently licensed at 1 firm(s): J.P. Morgan Broking (Hong Kong) Limited. Active regulated activities: Type 2 - Dealing in futures contracts; Type 5 - Advising on futures contracts. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2015-08-18 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2015-08-18 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2019-01-07 | 2020-08-19 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2019-01-07 | 2020-08-19 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2015-08-18 | 2016-10-31 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2015-08-18 | 2016-10-31 |