David Paul Putnam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Paul Putnam, a licensed Representative with CE reference AFU548. Currently licensed at 1 firm(s): Anglo Chinese Corporate Finance, Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 18.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司 |
Rep | Type 1 — Dealing in securities | 2022-01-11 | present |
| Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司 |
Rep | Type 4 — Advising on securities | 2022-01-11 | present |
| Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司 |
Rep | Type 6 — Advising on corporate finance | 2022-01-11 | present |
| Houlihan Lokey (China) Limited 華利安諾基(中國)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-06-24 | 2014-06-06 |
| Houlihan Lokey (China) Limited 華利安諾基(中國)有限公司 |
Rep | Type 4 — Advising on securities | 2013-06-24 | 2014-06-06 |
| Houlihan Lokey (China) Limited 華利安諾基(中國)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-06-24 | 2014-06-06 |
| Houlihan Lokey (China) Limited 華利安諾基(中國)有限公司 |
RO | Type 1 — Dealing in securities | 2008-10-09 | 2013-05-26 |
| Houlihan Lokey (China) Limited 華利安諾基(中國)有限公司 |
RO | Type 4 — Advising on securities | 2008-10-09 | 2013-05-26 |
| Houlihan Lokey (China) Limited 華利安諾基(中國)有限公司 |
RO | Type 6 — Advising on corporate finance | 2008-10-09 | 2013-05-26 |
| Houlihan Lokey Howard & Zukin (Europe) Limited | RO | Type 1 — Dealing in securities | 2007-05-15 | 2009-03-31 |
| Houlihan Lokey Howard & Zukin (Europe) Limited | RO | Type 4 — Advising on securities | 2007-05-15 | 2009-03-31 |
| Houlihan Lokey Howard & Zukin (Europe) Limited | RO | Type 6 — Advising on corporate finance | 2007-05-15 | 2009-03-31 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2005-04-13 | 2006-08-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-08-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-03-03 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2006-08-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2005-03-03 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2005-03-03 |