Charles Adrian Edward Spungin

CE No. BNH017 Ceased

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Adrian Edward Spungin (), a licensed former licensee with CE reference BNH017. Total licence records on file: 6.

Licence history

FirmRoleRegulated activityFromTo
Wells Fargo Securities Asia Limited RO Type 1 — Dealing in securities 2018-12-04 2019-03-29
Wells Fargo Securities Asia Limited RO Type 4 — Advising on securities 2018-12-04 2019-03-29
Wells Fargo Securities Asia Limited RO Type 9 — Asset management 2018-12-04 2019-03-29
Wells Fargo Securities Asia Limited Rep Type 1 — Dealing in securities 2018-09-26 2018-12-04
Wells Fargo Securities Asia Limited Rep Type 4 — Advising on securities 2018-09-26 2018-12-04
Wells Fargo Securities Asia Limited Rep Type 9 — Asset management 2018-09-26 2018-12-04

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