Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
STEARN, NICHOLAS ANTONY
Chinese Name of Relevant Individual
HKMA Registration Number
AF7057
Other HKMA Registration Number(s)
AE3053
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
07 Jul 2016
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, EQUITIES
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
07 Jul 2016
Is an Executive Officer? (Yes / No)
Yes
Capacity
MANAGING DIRECTOR, EQUITIES
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
SFC CE number
AAJ321
Business Address
18/F & 23-29/F, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL, HONG KONG
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 15 Feb 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 15 Feb 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
07 Jul 2016 - 14 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
07 Jul 2016 - 14 Feb 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Aug 2012 - 15 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
25 Aug 2012 - 15 Jul 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
10 May 2009 - 30 Nov 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF AMERICA, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
10 May 2009 - 30 Nov 2009
Is an Executive Officer? (Yes / No)
No
Records: 1-8 of 8
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
STEARN, NICHOLAS ANTONY
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AF7057
:
Other HKMA Registration Number(s)
AE3053
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
07 Jul 2016
Yes
MANAGING DIRECTOR, EQUITIES
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
07 Jul 2016
Yes
MANAGING DIRECTOR, EQUITIES
Name of Registered Institution
SFC CE number
Business Address
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
AAJ321
18/F & 23-29/F, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL, HONG KONG
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF7057
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
Since 15 Feb 2023
Yes
AF7057
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
Since 15 Feb 2023
Yes
AF7057
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
07 Jul 2016 - 14 Feb 2023
No
AF7057
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
07 Jul 2016 - 14 Feb 2023
No
AF7057
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
25 Aug 2012 - 15 Jul 2015
No
AF7057
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
25 Aug 2012 - 15 Jul 2015
No
AE3053
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 1: dealing in securities
10 May 2009 - 30 Nov 2009
No
AE3053
BANK OF AMERICA, NATIONAL ASSOCIATION
Type 4: advising on securities
10 May 2009 - 30 Nov 2009
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.