Alan Frank Wells
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alan Frank Wells, a licensed Representative with CE reference BFW348. Currently licensed at 1 firm(s): J.P. Morgan Broking (Hong Kong) Limited. Active regulated activities: Type 2 — Dealing in futures contracts; Type 5 — Advising on futures contracts. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2022-08-29 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2022-08-29 | present |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-12-05 | 2022-06-02 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-12-05 | 2022-06-02 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-12-05 | 2022-06-02 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2017-12-05 | 2022-06-02 |
| Ord Minnett Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2016-06-14 | 2017-08-16 |
| Ord Minnett Hong Kong Limited |
Rep | Type 4 — Advising on securities | 2016-06-14 | 2017-08-16 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | 2015-07-15 | 2016-01-06 |