Stephen Peter Putnam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Peter Putnam, a licensed Representative with CE reference BGN176. Currently licensed at 1 firm(s): St. James's Place (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 10.7 years of SFC licence history. Total licence records on file: 3.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| St. James's Place (Hong Kong) Limited | Rep | Type 9 - Asset management | 2020-11-06 | present |
| St. James's Place (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2015-11-20 | present |
| St. James's Place (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2015-11-20 | present |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Stephen Peter Putnam 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.