Stephen Peter Putnam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Peter Putnam, CE reference BGN176. Currently licensed at 1 firm(s): St. James's Place (Hong Kong) Limited. Total licence records on file: 3.
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 |