SFC Licences of WELLS Alan Frank
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | RE | 5 | 29 August 2022 | |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 2 | 29 August 2022 | |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 7 | 05 December 2017 | 02 June 2022 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 1 | 05 December 2017 | 02 June 2022 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 2 | 05 December 2017 | 02 June 2022 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 1 | 05 December 2017 | 02 June 2022 |
| Ord Minnett Hong Kong Limited | RE | 4 | 14 June 2016 | 16 August 2017 |
| Ord Minnett Hong Kong Limited | RE | 1 | 14 June 2016 | 16 August 2017 |
| CLSA Limited 中信里昂證券有限公司 | RE | 4 | 15 July 2015 | 06 January 2016 |