Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BHARGAVA, MOHIT
Chinese Name of Relevant Individual
HKMA Registration Number
AH0023
Other HKMA Registration Number(s)
AG9593
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
02 Nov 2015
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Nov 2015
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING
Remarks
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 7: providing automated trading services
First date of engagement
02 Nov 2015
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
First date of engagement
02 Nov 2015
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING
Remarks
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
First date of engagement
02 Nov 2015
Is an Executive Officer? (Yes / No)
Yes
Capacity
EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING
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
Name of Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
SFC CE number
AAL996
Business Address
18/F & 20-29/F, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL, HONG KONG
Conditions
Registered Institution
Effective Date
Description
1
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Effective Date
23 May 2024
Description
For Types 1, 4 and 7 regulated activities, the Executive Officer shall, when actively participating in or when directly supervising the business of such activities, do so under the advice of another Executive Officer of J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED not subject to a similar condition.
1
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Effective Date
23 May 2024
Description
For Types 1 and 4 regulated activities, the Executive Officer shall, when actively participating in or when directly supervising the business of such activities, do so under the advice of another Executive Officer of JPMORGAN CHASE BANK, NATIONAL ASSOCIATION not subject to a similar condition.
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 20 Sep 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 20 Sep 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
Since 20 Sep 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Sep 2023
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
Since 20 Sep 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
10 Dec 2015 - 19 Sep 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
10 Dec 2015 - 19 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
10 Dec 2015 - 19 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
10 Dec 2015 - 19 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
10 Dec 2015 - 19 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Nov 2015 - 09 Dec 2015
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
02 Nov 2015 - 09 Dec 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
02 Nov 2015 - 09 Dec 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 1: dealing in securities
Effective Period
02 Nov 2015 - 09 Dec 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Regulated Activity
Type 4: advising on securities
Effective Period
02 Nov 2015 - 09 Dec 2015
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
BHARGAVA, MOHIT
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH0023
:
Other HKMA Registration Number(s)
AG9593
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
02 Nov 2015
Yes
EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
02 Nov 2015
Yes
EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
02 Nov 2015
Yes
EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
02 Nov 2015
Yes
EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
02 Nov 2015
Yes
EXECUTIVE DIRECTOR, CREDIT EXOTICS TRADING
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
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
AAL996
18/F & 20-29/F, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL, HONG KONG
Registered Institution
Effective Date
Description
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
1
23 May 2024
For Types 1, 4 and 7 regulated activities, the Executive Officer shall, when actively participating in or when directly supervising the business of such activities, do so under the advice of another Executive Officer of J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED not subject to a similar condition.
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
1
23 May 2024
For Types 1 and 4 regulated activities, the Executive Officer shall, when actively participating in or when directly supervising the business of such activities, do so under the advice of another Executive Officer of JPMORGAN CHASE BANK, NATIONAL ASSOCIATION not subject to a similar condition.
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH0023
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
Since 20 Sep 2023
Yes
AH0023
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
Since 20 Sep 2023
Yes
AH0023
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
Since 20 Sep 2023
Yes
AH0023
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
Since 20 Sep 2023
Yes
AH0023
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
Since 20 Sep 2023
Yes
AH0023
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
10 Dec 2015 - 19 Sep 2023
No
AH0023
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
10 Dec 2015 - 19 Sep 2023
No
AH0023
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
10 Dec 2015 - 19 Sep 2023
No
AH0023
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
10 Dec 2015 - 19 Sep 2023
No
AH0023
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
10 Dec 2015 - 19 Sep 2023
No
AG9593
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 1: dealing in securities
02 Nov 2015 - 09 Dec 2015
No
AG9593
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 4: advising on securities
02 Nov 2015 - 09 Dec 2015
No
AG9593
J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
Type 7: providing automated trading services
02 Nov 2015 - 09 Dec 2015
No
AG9593
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 1: dealing in securities
02 Nov 2015 - 09 Dec 2015
No
AG9593
JPMORGAN CHASE BANK, NATIONAL ASSOCIATION
Type 4: advising on securities
02 Nov 2015 - 09 Dec 2015
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.