James Munger Banghart III
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Munger Banghart III ( ), a licensed former licensee with CE reference AUE953. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2017-10-30 | 2019-10-07 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2017-10-30 | 2019-10-07 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 1 — Dealing in securities | 2015-11-25 | 2016-09-23 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 4 — Advising on securities | 2015-11-25 | 2016-09-23 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 — Dealing in securities | 2015-04-20 | 2015-11-25 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 — Advising on securities | 2015-04-20 | 2015-11-25 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2014-05-21 | 2017-10-30 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2014-05-21 | 2017-10-30 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2012-11-09 | 2016-09-13 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2012-11-09 | 2016-09-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2009-11-25 | 2012-11-09 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2009-11-25 | 2012-11-09 |