UBS SECURITIES ASIA LIMITED
This page shows the historic number of SFC licensees for a firm. Licensees are either Responsible Officers (ROs) or Representatives (Reps). When Activity is set to "All", we treat a person who holds both roles (in different activities) as an RO. The Reps v total is a measure of how bottom-heavy a firm is, because the ROs are supposed to supervise the Reps. For other firms, click here. For the total in all firms, click here. Note that due to a transitional period which ended on 31-Mar-2005, many licenses in some activities were surrendered or not extended beyond that date.
Date | ROs | Reps | Total | Reps v total |
---|---|---|---|---|
2024-07-13 | 19 | 355 | 374 | 94.92% |
2024-06-30 | 18 | 352 | 370 | 95.14% |
2024-05-31 | 18 | 373 | 391 | 95.40% |
2024-04-30 | 18 | 357 | 375 | 95.20% |
2024-03-31 | 19 | 355 | 374 | 94.92% |
2024-02-29 | 20 | 352 | 372 | 94.62% |
2024-01-31 | 20 | 355 | 375 | 94.67% |
2023-12-31 | 20 | 346 | 366 | 94.54% |
2023-11-30 | 20 | 346 | 366 | 94.54% |
2023-10-31 | 20 | 337 | 357 | 94.40% |
2023-09-30 | 19 | 324 | 343 | 94.46% |
2023-08-31 | 19 | 314 | 333 | 94.29% |
2023-07-31 | 18 | 300 | 318 | 94.34% |
2023-06-30 | 19 | 306 | 325 | 94.15% |
2023-05-31 | 19 | 295 | 314 | 93.95% |
2023-04-30 | 19 | 285 | 304 | 93.75% |
2023-03-31 | 19 | 288 | 307 | 93.81% |
2023-02-28 | 19 | 290 | 309 | 93.85% |
2023-01-31 | 19 | 293 | 312 | 93.91% |
2022-12-31 | 19 | 287 | 306 | 93.79% |
2022-11-30 | 19 | 286 | 305 | 93.77% |
2022-10-31 | 20 | 285 | 305 | 93.44% |
2022-09-30 | 20 | 284 | 304 | 93.42% |
2022-08-31 | 20 | 282 | 302 | 93.38% |
2022-07-31 | 20 | 273 | 293 | 93.17% |
2022-06-30 | 20 | 278 | 298 | 93.29% |
2022-05-31 | 20 | 284 | 304 | 93.42% |
2022-04-30 | 20 | 289 | 309 | 93.53% |
2022-03-31 | 20 | 290 | 310 | 93.55% |
2022-02-28 | 21 | 294 | 315 | 93.33% |
2022-01-31 | 22 | 286 | 308 | 92.86% |
2021-12-31 | 22 | 283 | 305 | 92.79% |
2021-11-30 | 20 | 282 | 302 | 93.38% |
2021-10-31 | 19 | 282 | 301 | 93.69% |
2021-09-30 | 19 | 280 | 299 | 93.65% |
2021-08-31 | 19 | 283 | 302 | 93.71% |
2021-07-31 | 19 | 275 | 294 | 93.54% |
2021-06-30 | 19 | 279 | 298 | 93.62% |
2021-05-31 | 19 | 284 | 303 | 93.73% |
2021-04-30 | 19 | 291 | 310 | 93.87% |
2021-03-31 | 20 | 307 | 327 | 93.88% |
2021-02-28 | 20 | 316 | 336 | 94.05% |
2021-01-31 | 20 | 316 | 336 | 94.05% |
2020-12-31 | 19 | 313 | 332 | 94.28% |
2020-11-30 | 19 | 314 | 333 | 94.29% |
2020-10-31 | 19 | 311 | 330 | 94.24% |
2020-09-30 | 19 | 311 | 330 | 94.24% |
2020-08-31 | 18 | 311 | 329 | 94.53% |
2020-07-31 | 18 | 306 | 324 | 94.44% |
2020-06-30 | 19 | 298 | 317 | 94.01% |
2020-05-31 | 19 | 304 | 323 | 94.12% |
2020-04-30 | 19 | 301 | 320 | 94.06% |
2020-03-31 | 19 | 304 | 323 | 94.12% |
2020-02-29 | 18 | 318 | 336 | 94.64% |
2020-01-31 | 18 | 324 | 342 | 94.74% |
2019-12-31 | 18 | 317 | 335 | 94.63% |
2019-11-30 | 19 | 324 | 343 | 94.46% |
2019-10-31 | 18 | 323 | 341 | 94.72% |
2019-09-30 | 19 | 324 | 343 | 94.46% |
2019-08-31 | 19 | 321 | 340 | 94.41% |
2019-07-31 | 19 | 320 | 339 | 94.40% |
2019-06-30 | 18 | 325 | 343 | 94.75% |
2019-05-31 | 18 | 322 | 340 | 94.71% |
2019-04-30 | 19 | 329 | 348 | 94.54% |
2019-03-31 | 19 | 339 | 358 | 94.69% |
2019-02-28 | 19 | 344 | 363 | 94.77% |
2019-01-31 | 19 | 331 | 350 | 94.57% |
2018-12-31 | 19 | 326 | 345 | 94.49% |
2018-11-30 | 19 | 337 | 356 | 94.66% |
2018-10-31 | 19 | 332 | 351 | 94.59% |
2018-09-30 | 19 | 325 | 344 | 94.48% |
2018-08-31 | 18 | 323 | 341 | 94.72% |
2018-07-31 | 16 | 326 | 342 | 95.32% |
2018-06-30 | 17 | 323 | 340 | 95.00% |
2018-05-31 | 17 | 332 | 349 | 95.13% |
2018-04-30 | 16 | 336 | 352 | 95.45% |
2018-03-31 | 17 | 342 | 359 | 95.26% |
2018-02-28 | 17 | 340 | 357 | 95.24% |
2018-01-31 | 17 | 349 | 366 | 95.36% |
2017-12-31 | 15 | 335 | 350 | 95.71% |
2017-11-30 | 13 | 345 | 358 | 96.37% |
2017-10-31 | 13 | 346 | 359 | 96.38% |
2017-09-30 | 13 | 331 | 344 | 96.22% |
2017-08-31 | 14 | 336 | 350 | 96.00% |
2017-07-31 | 13 | 334 | 347 | 96.25% |
2017-06-30 | 13 | 330 | 343 | 96.21% |
2017-05-31 | 13 | 341 | 354 | 96.33% |
2017-04-30 | 13 | 339 | 352 | 96.31% |
2017-03-31 | 13 | 347 | 360 | 96.39% |
2017-02-28 | 13 | 358 | 371 | 96.50% |
2017-01-31 | 14 | 353 | 367 | 96.19% |
2016-12-31 | 15 | 351 | 366 | 95.90% |
2016-11-30 | 15 | 360 | 375 | 96.00% |
2016-10-31 | 15 | 366 | 381 | 96.06% |
2016-09-30 | 15 | 372 | 387 | 96.12% |
2016-08-31 | 14 | 366 | 380 | 96.32% |
2016-07-31 | 14 | 355 | 369 | 96.21% |
2016-06-30 | 14 | 369 | 383 | 96.34% |
2016-05-31 | 14 | 372 | 386 | 96.37% |
2016-04-30 | 15 | 407 | 422 | 96.45% |
2016-03-31 | 13 | 431 | 444 | 97.07% |
2016-02-29 | 14 | 439 | 453 | 96.91% |
2016-01-31 | 14 | 433 | 447 | 96.87% |
2015-12-31 | 13 | 438 | 451 | 97.12% |
2015-11-30 | 13 | 443 | 456 | 97.15% |
2015-10-31 | 13 | 440 | 453 | 97.13% |
2015-09-30 | 13 | 444 | 457 | 97.16% |
2015-08-31 | 14 | 431 | 445 | 96.85% |
2015-07-31 | 13 | 428 | 441 | 97.05% |
2015-06-30 | 13 | 441 | 454 | 97.14% |
2015-05-31 | 13 | 449 | 462 | 97.19% |
2015-04-30 | 13 | 452 | 465 | 97.20% |
2015-03-31 | 13 | 454 | 467 | 97.22% |
2015-02-28 | 13 | 462 | 475 | 97.26% |
2015-01-31 | 13 | 462 | 475 | 97.26% |
2014-12-31 | 13 | 462 | 475 | 97.26% |
2014-11-30 | 13 | 470 | 483 | 97.31% |
2014-10-31 | 13 | 517 | 530 | 97.55% |
2014-09-30 | 13 | 515 | 528 | 97.54% |
2014-08-31 | 13 | 507 | 520 | 97.50% |
2014-07-31 | 13 | 503 | 516 | 97.48% |
2014-06-30 | 13 | 502 | 515 | 97.48% |
2014-05-31 | 14 | 507 | 521 | 97.31% |
2014-04-30 | 14 | 519 | 533 | 97.37% |
2014-03-31 | 15 | 532 | 547 | 97.26% |
2014-02-28 | 14 | 542 | 556 | 97.48% |
2014-01-31 | 14 | 541 | 555 | 97.48% |
2013-12-31 | 13 | 539 | 552 | 97.64% |
2013-11-30 | 12 | 541 | 553 | 97.83% |
2013-10-31 | 13 | 538 | 551 | 97.64% |
2013-09-30 | 13 | 536 | 549 | 97.63% |
2013-08-31 | 13 | 529 | 542 | 97.60% |
2013-07-31 | 12 | 525 | 537 | 97.77% |
2013-06-30 | 13 | 513 | 526 | 97.53% |
2013-05-31 | 13 | 518 | 531 | 97.55% |
2013-04-30 | 14 | 523 | 537 | 97.39% |
2013-03-31 | 15 | 520 | 535 | 97.20% |
2013-02-28 | 15 | 518 | 533 | 97.19% |
2013-01-31 | 15 | 515 | 530 | 97.17% |
2012-12-31 | 15 | 519 | 534 | 97.19% |
2012-11-30 | 15 | 523 | 538 | 97.21% |
2012-10-31 | 15 | 523 | 538 | 97.21% |
2012-09-30 | 15 | 533 | 548 | 97.26% |
2012-08-31 | 16 | 528 | 544 | 97.06% |
2012-07-31 | 16 | 524 | 540 | 97.04% |
2012-06-30 | 16 | 522 | 538 | 97.03% |
2012-05-31 | 16 | 526 | 542 | 97.05% |
2012-04-30 | 16 | 525 | 541 | 97.04% |
2012-03-31 | 16 | 534 | 550 | 97.09% |
2012-02-29 | 16 | 554 | 570 | 97.19% |
2012-01-31 | 16 | 564 | 580 | 97.24% |
2011-12-31 | 16 | 555 | 571 | 97.20% |
2011-11-30 | 16 | 553 | 569 | 97.19% |
2011-10-31 | 15 | 551 | 566 | 97.35% |
2011-09-30 | 15 | 544 | 559 | 97.32% |
2011-08-31 | 16 | 541 | 557 | 97.13% |
2011-07-31 | 14 | 530 | 544 | 97.43% |
2011-06-30 | 12 | 518 | 530 | 97.74% |
2011-05-31 | 12 | 505 | 517 | 97.68% |
2011-04-30 | 12 | 498 | 510 | 97.65% |
2011-03-31 | 13 | 497 | 510 | 97.45% |
2011-02-28 | 13 | 489 | 502 | 97.41% |
2011-01-31 | 14 | 474 | 488 | 97.13% |
2010-12-31 | 13 | 460 | 473 | 97.25% |
2010-11-30 | 13 | 453 | 466 | 97.21% |
2010-10-31 | 12 | 441 | 453 | 97.35% |
2010-09-30 | 9 | 433 | 442 | 97.96% |
2010-08-31 | 8 | 417 | 425 | 98.12% |
2010-07-31 | 8 | 393 | 401 | 98.00% |
2010-06-30 | 8 | 374 | 382 | 97.91% |
2010-05-31 | 7 | 362 | 369 | 98.10% |
2010-04-30 | 6 | 366 | 372 | 98.39% |
2010-03-31 | 6 | 369 | 375 | 98.40% |
2010-02-28 | 6 | 368 | 374 | 98.40% |
2010-01-31 | 7 | 360 | 367 | 98.09% |
2009-12-31 | 8 | 355 | 363 | 97.80% |
2009-11-30 | 8 | 351 | 359 | 97.77% |
2009-10-31 | 8 | 346 | 354 | 97.74% |
2009-09-30 | 8 | 340 | 348 | 97.70% |
2009-08-31 | 8 | 329 | 337 | 97.63% |
2009-07-31 | 8 | 304 | 312 | 97.44% |
2009-06-30 | 8 | 295 | 303 | 97.36% |
2009-05-31 | 8 | 274 | 282 | 97.16% |
2009-04-30 | 7 | 275 | 282 | 97.52% |
2009-03-31 | 8 | 296 | 304 | 97.37% |
2009-02-28 | 8 | 294 | 302 | 97.35% |
2009-01-31 | 8 | 293 | 301 | 97.34% |
2008-12-31 | 8 | 292 | 300 | 97.33% |
2008-11-30 | 8 | 299 | 307 | 97.39% |
2008-10-31 | 8 | 301 | 309 | 97.41% |
2008-09-30 | 8 | 308 | 316 | 97.47% |
2008-08-31 | 8 | 300 | 308 | 97.40% |
2008-07-31 | 9 | 304 | 313 | 97.12% |
2008-06-30 | 9 | 301 | 310 | 97.10% |
2008-05-31 | 9 | 305 | 314 | 97.13% |
2008-04-30 | 9 | 306 | 315 | 97.14% |
2008-03-31 | 10 | 310 | 320 | 96.88% |
2008-02-29 | 10 | 319 | 329 | 96.96% |
2008-01-31 | 10 | 318 | 328 | 96.95% |
2007-12-31 | 10 | 319 | 329 | 96.96% |
2007-11-30 | 10 | 320 | 330 | 96.97% |
2007-10-31 | 10 | 316 | 326 | 96.93% |
2007-09-30 | 10 | 317 | 327 | 96.94% |
2007-08-31 | 10 | 316 | 326 | 96.93% |
2007-07-31 | 9 | 313 | 322 | 97.20% |
2007-06-30 | 7 | 304 | 311 | 97.75% |
2007-05-31 | 6 | 308 | 314 | 98.09% |
2007-04-30 | 6 | 287 | 293 | 97.95% |
2007-03-31 | 6 | 292 | 298 | 97.99% |
2007-02-28 | 7 | 266 | 273 | 97.44% |
2007-01-31 | 7 | 264 | 271 | 97.42% |
2006-12-31 | 7 | 257 | 264 | 97.35% |
2006-11-30 | 7 | 252 | 259 | 97.30% |
2006-10-31 | 8 | 234 | 242 | 96.69% |
2006-09-30 | 7 | 217 | 224 | 96.88% |
2006-08-31 | 6 | 209 | 215 | 97.21% |
2006-07-31 | 6 | 203 | 209 | 97.13% |
2006-06-30 | 5 | 200 | 205 | 97.56% |
2006-05-31 | 5 | 198 | 203 | 97.54% |
2006-04-30 | 5 | 195 | 200 | 97.50% |
2006-03-31 | 6 | 185 | 191 | 96.86% |
2006-02-28 | 6 | 191 | 197 | 96.95% |
2006-01-31 | 6 | 188 | 194 | 96.91% |
2005-12-31 | 7 | 175 | 182 | 96.15% |
2005-11-30 | 7 | 174 | 181 | 96.13% |
2005-10-31 | 7 | 175 | 182 | 96.15% |
2005-09-30 | 7 | 174 | 181 | 96.13% |
2005-08-31 | 7 | 175 | 182 | 96.15% |
2005-07-31 | 7 | 173 | 180 | 96.11% |
2005-06-30 | 7 | 166 | 173 | 95.95% |
2005-05-31 | 8 | 168 | 176 | 95.45% |
2005-04-30 | 11 | 161 | 172 | 93.60% |
2005-03-31 | 8 | 158 | 166 | 95.18% |
2005-02-28 | 12 | 158 | 170 | 92.94% |
2005-01-31 | 12 | 156 | 168 | 92.86% |
2004-12-31 | 12 | 151 | 163 | 92.64% |
2004-11-30 | 12 | 148 | 160 | 92.50% |
2004-10-31 | 12 | 145 | 157 | 92.36% |
2004-09-30 | 12 | 143 | 155 | 92.26% |
2004-08-31 | 12 | 140 | 152 | 92.11% |
2004-07-31 | 12 | 135 | 147 | 91.84% |
2004-06-30 | 11 | 135 | 146 | 92.47% |
2004-05-31 | 11 | 131 | 142 | 92.25% |
2004-04-30 | 11 | 134 | 145 | 92.41% |
2004-03-31 | 13 | 141 | 154 | 91.56% |
2004-02-29 | 13 | 138 | 151 | 91.39% |
2004-01-31 | 13 | 135 | 148 | 91.22% |
2003-12-31 | 12 | 136 | 148 | 91.89% |
2003-11-30 | 12 | 136 | 148 | 91.89% |
2003-10-31 | 13 | 136 | 149 | 91.28% |
2003-09-30 | 13 | 133 | 146 | 91.10% |
2003-08-31 | 11 | 131 | 142 | 92.25% |
2003-07-31 | 11 | 130 | 141 | 92.20% |
2003-06-30 | 11 | 134 | 145 | 92.41% |
2003-05-31 | 14 | 193 | 207 | 93.24% |
2003-04-30 | 14 | 193 | 207 | 93.24% |
2003-03-31 | 14 | 203 | 217 | 93.55% |
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