Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BAUMGARTNER, ADRIAN ANDREAS
Chinese Name of Relevant Individual
HKMA Registration Number
AG0130
Current Registration
Not Applicable
Business Address
Not Applicable
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
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jan 2019 - 10 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
17 Jan 2019 - 10 Nov 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 2: dealing in futures contracts
Effective Period
16 Jun 2014 - 16 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 5: advising on futures contracts
Effective Period
16 Jun 2014 - 16 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 1: dealing in securities
Effective Period
24 Jun 2013 - 16 Nov 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
LGT BANK AG
Regulated Activity
Type 4: advising on securities
Effective Period
24 Jun 2013 - 16 Nov 2016
Is an Executive Officer? (Yes / No)
No
Records: 1-6 of 6
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
BAUMGARTNER, ADRIAN ANDREAS
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG0130
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG0130
LGT BANK AG
Type 1: dealing in securities
17 Jan 2019 - 10 Nov 2020
No
AG0130
LGT BANK AG
Type 2: dealing in futures contracts
17 Jan 2019 - 10 Nov 2020
No
AG0130
LGT BANK AG
Type 2: dealing in futures contracts
16 Jun 2014 - 16 Nov 2016
No
AG0130
LGT BANK AG
Type 5: advising on futures contracts
16 Jun 2014 - 16 Nov 2016
No
AG0130
LGT BANK AG
Type 1: dealing in securities
24 Jun 2013 - 16 Nov 2016
No
AG0130
LGT BANK AG
Type 4: advising on securities
24 Jun 2013 - 16 Nov 2016
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.