J.P. Morgan Broking (Hong Kong) Limited

CE No. AAB027 Licensed corporation Active

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for J.P. Morgan Broking (Hong Kong) Limited, a Hong Kong-based licensed corporation with CE reference AAB027. Currently licensed for regulated activity type(s) 1 — Dealing in securities; 2 — Dealing in futures contracts; 4 — Advising on securities; 5 — Advising on futures contracts; 7 — Providing automated trading services. Current licensed staff on file: 263 (total recorded over time: 1137). Earliest licence on file: 2003-12-02.

More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on futures contracts →More firms doing Providing automated trading services →

Registered address

18th Floor, Chater House, 8 Connaught Road, Central

Licence history

ActivityFromTo
Type 1 — Dealing in securities present present
Type 2 — Dealing in futures contracts 2003-12-02 present
Type 4 — Advising on securities present present
Type 5 — Advising on futures contracts 2003-12-02 present
Type 7 — Providing automated trading services 2012-02-09 present
Type 6 — Advising on corporate finance present 2003-12-02
Type 7 — Providing automated trading services present 2003-12-02
Type 9 — Asset management present 2003-12-02

Licensed staff (all-time) (1137)
Active on date

Name Activities First licensed To
Thorsten Oliver Ackermann RO 2, 5 Rep 2, 5 2024-09 Present
James Munger Banghart III RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2009-11 2019-10
Murray Alexander Bremner RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2007-11 2015-06
Michael Bartus Bugel RO 1, 4, 6, 7, 9 Pre-2003 2003-05
James William Burdett RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2004-03 2013-06
Andrea Casati RO 1, 2, 4, 5, 7 Rep 1, 2, 4, 5 2011-04 2016-07
Ron Chi Ho Chan 陳志豪 RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2014-06 Present
Sim Ee Cheah 謝心懿 RO 2, 5 Rep 1, 2, 4, 5 2015-11 Present
Ming Zuei Charles Chiang 江明叡 RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2006-04 2022-08
Yow Jie Chien RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2004-04 Present
Patrick Pak Ning Chu 朱柏寧 RO 1, 2, 4, 5, 7 Rep 1, 2, 4, 5, 7 2012-04 Present
Marcus Cornelius Consolini RO 1, 4, 7 Rep 2, 5 2011-06 2013-09
Paul Allen Davidson RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2013-02 2016-08
Bregje Maria Gerardina de Best RO 2, 5 Rep 2, 5 2016-09 2024-11
Ronny Budi Dharma RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2016-12 2026-02
Edward Bernard Charles Duggan RO 1, 4, 7 Rep 1, 4, 7 2014-03 2018-08
Paul Findlay RO 1, 4 Rep 1, 2, 4, 5 2011-03 2015-07
Nicholas Playford Forgan RO 2, 5 2003-12 2014-04
Francesco Forte RO 2, 5 Rep 2, 5 2016-09 2025-03
Sudhir Nareshkumar Goel 高蘇迪 RO 1, 2, 4, 5, 7 Rep 1, 2, 4, 5, 7 2013-10 2025-05
James Edwin Gomes RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2003-12 2016-07
Filippo Gori RO 1, 2, 4, 5, 7 Rep 1, 2, 4, 5, 7 2014-01 2019-03
Michael Bernard Green RO 1, 2, 4, 5, 7 Rep 1, 2, 4, 5, 7 2012-09 2015-04
Timothy John Griffin RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2011-07 2021-07
Daryl Jon Harding RO 2, 5 Rep 2, 5 2017-02 2018-07
Steven James Hersey RO 2, 5 Rep 1, 2, 4, 5 2011-11 2016-08
Ryan Hans Holsheimer RO 1, 2, 4, 5, 7 Rep 1, 2, 4, 5, 7 2015-05 2022-04
Neil Patrick Hounslow RO 1, 4 Rep 2, 5 2011-11 2016-05
Bhasker Iyer RO 2, 5 Rep 2, 5 2016-04 Present
Sreenivas Jayaraman RO 2, 5 Rep 2, 5 2016-06 2018-01
Allan Jip RO 1, 2, 4, 5 Rep 2, 5 2003-12 2018-02
Christopher Lam Jung 曾俊文 RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2008-04 2011-01
Shuya Kekke 結解秀哉 RO 1, 2, 4, 5, 7 Rep 1, 2, 4, 5, 7 2013-09 2014-07
James Douglas Nash Kibble RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2007-04 Present
Ying Er May Kong 江盈儿 RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2012-08 2022-04
Desmond On Ching Lau 劉安正 RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2007-02 Present
Joseph Han Wai Lau 劉恆瑋 RO 2, 5 Rep 1, 2, 4, 5 2015-11 Present
Francesco Lavatelli RO 2, 5 Rep 2, 5 2019-09 2020-11
Hok Lymn Lemuel Lee 李學林 RO 1, 2, 5 Rep 1, 2, 4, 5 2008-06 2016-06
Tony Sai Kuen Lee 李世權 RO 4, 5 Rep 1, 2, 4, 5 2008-05 Present
William Kei Leung Lee 李基樑 RO 1, 2, 4, 5 Rep 1, 2, 4, 5, 6, 7, 9 Pre-2003 2012-02
Chi Man (SFC:AQV179) Leung 梁治文 RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2008-04 2024-08
Kai Tong Leung 梁啟棠 RO 4 Rep 4 2019-06 2023-09
Cyril Claude Levy RO 1, 2, 4, 5 Rep 1, 2, 4, 5, 7 2011-05 2013-04
Yu-Yun Li 李郁勻 RO 4 Rep 4 2019-06 Present
David Nicholas Long RO 1, 4, 7 Pre-2003 2007-01
Osman Riaz Malik RO 1, 4 Rep 1, 2, 4, 5 2008-05 Present
Niccolo Manno RO 2, 5 Rep 2, 5 2021-07 2024-03
David Thomas Mansfield RO 2, 5 Rep 1, 2, 4, 5 2012-01 2018-06
Darryl Patrick Mc Keown RO 1, 2, 4, 5, 7 Rep 1, 2, 4, 5, 7 2016-03 Present
Benjamin Ross Wallington Michael RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2011-11 2020-09
Camille Modiano RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2008-06 2022-09
Daniel Joseph Murphy RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2013-07 2016-12
Allan George Murray RO 1, 4, 6, 7, 9 Rep 1, 4 Pre-2003 2012-08
Kevin Mitchell Myers RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2012-03 2013-08
Kazuma Naito 內藤一真 RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2011-05 2019-07
Matthew Haw Ming Pau 鮑浩銘 RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2005-05 2021-03
Sara Louise Perring RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2015-12 Present
Jason Michael Pliner RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2019-09 Present
Aaron Nai Chuen Poon 潘乃全 RO 2, 5 2003-12 2005-03
Adam Thomas James Putterill RO 1, 4, 7 Rep 1, 4, 6, 7, 9 Pre-2003 2010-11
Thomas Damian (SFC:AVD836) Roche RO 1, 4 Rep 1, 2, 4, 5 2011-12 2014-06
Francisco de Borja Rodriguez-Cano Julia RO 2, 5 Rep 1, 2, 4, 5 2013-06 2021-07
Scott Antony Saunders RO 1, 4 Rep 1, 4 2006-04 2009-04
David Michael Sayer RO 1, 2, 4, 5, 7 Rep 1, 2, 4, 5, 6, 7, 9 Pre-2003 2012-07
Steven James Seymour RO 1, 4, 7 Rep 1, 4, 6, 7, 9 Pre-2003 2007-01
Kiran Dhirajlal Shah RO 1, 2, 4, 5, 7 Rep 1, 2, 4, 5 2010-10 2015-06
Richard Chih Yuan Shen 沈智遠 RO 1, 2, 4, 5 2008-01 2015-05
Daniel John Sofianos RO 1, 4 Rep 1, 4 2013-08 2015-11
Nicholas Antony Stearn RO 2, 5 Rep 2, 5 2016-07 Present
Andrew Guy Stiles RO 1, 4, 6, 7, 9 Pre-2003 2003-05
David Lyall Strachan RO 1, 2, 4, 5 Rep 2, 5 2003-12 2013-01
Arddanai Marco Sucharitkul RO 1, 2, 4, 5, 7 Rep 1, 2, 4, 5 2010-09 2021-05
Thomas Alexander Summersall RO 2, 5 Rep 2, 5 2019-10 2021-08
Ryoya Terasawa 寺沢亮也 RO 2, 5 Rep 1, 2, 4, 5 2015-08 2018-02
Duncan William Palmer Wilson RO 1, 2, 4, 5, 7 Rep 1, 2, 4, 5 2016-07 Present
Keith Alan Woolterton RO 1, 7 Rep 1, 4, 7 2015-08 2020-08
Ping Hang Yip 葉秉恒 RO 2, 5 Rep 2, 5 2018-03 Present
Gregory Hock-Ken Yu 余學勤 RO 2, 5 Rep 1, 2, 4, 5 2006-09 2025-02
Ankush Aarman Rep 1 2014-04 2014-09
Ravi Agarwal Rep 2, 5 2022-12 Present
Chan Ahn Rep 1, 2, 4, 5 2012-08 2015-06
Shuichi Akito Rep 2, 5 2018-09 2024-04
An An 安安 Rep 4 2019-12 2020-12
Qi (SFC:AUM597) An 安琪 Rep 2, 5 2015-03 2022-02
Rodney Leonard Andrews Rep 1, 2, 4, 5 2013-05 2019-08
Eric Tai Yue Ang 洪大裕 Rep 1, 2, 4, 5 2009-06 2010-09
Gi Hong Ann Rep 1, 2, 4, 5 2020-11 2024-02
Simon Henry Charles Ashworth Rep 2, 5 2017-03 2018-06
Yovan Vijay Assomull Rep 1, 2, 4, 5 2008-07 Present
Kai Man Au 區繼文 Rep 4 2019-08 2024-12
Miranda Yuen Ting Au 區婉婷 Rep 1, 2, 4, 5, 6, 7, 9 Pre-2003 2006-08
Tin Wai Au 區天偉 Rep 1, 2, 4, 5 2006-08 2009-07
Fukuko Ayama 綾間福子 Rep 2, 5 2014-04 2015-03
Faris Ibrahim Taha Ayoub Rep 1, 4 2008-10 2010-03
Yu Jung Bae Rep 1, 2, 4, 5 2015-04 2017-10
Alok Bahl Rep 2, 5 2013-11 2021-03
Yang (SFC:APY585) Bai 白洋 Rep 1, 4 2007-11 2008-09
Stanislas Bailly Rep 1, 2, 4, 5 2007-03 2009-06
Theodore Alexander Ball 博希奧 Rep 2, 5 2016-08 2019-10
Showing 1–100 of 1137

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