UBS SECURITIES ASIA LIMITED
SFC licensees
RO=Responsible Officer, Rep=Representative
| Name | Age in 2004 |
⚥ | Role | From | Until | |
|---|---|---|---|---|---|---|
| 1 | Anderson, Jonathan Gentile | M | Rep | 2003-05-30 | 2012-03-08 | |
| 2 | Anderson, Michael James (SFC:ABX611) | M | Rep | 2006-07-01 | ||
| 3 | Au, Eva Sin Yee 區善宜 | F | Rep | 2003-09-08 | 2008-10-04 | |
| 4 | Basham, Caroline Charlotte | F | Rep | 2004-08-17 | ||
| 5 | Beshke, Clarence John | M | RO | 2010-10-15 | ||
| 6 | Bodek, Haim Yigal | Rep | 2004-03-15 | 2004-06-15 | ||
| 7 | Bourgeois, Eva Maria | F | Rep | 2004-03-10 | 2008-03-14 | |
| 8 | Bradshaw, John (SFC:AHC328) | M | Rep | 2012-03-29 | ||
| 9 | Cavatoni, Joseph Roland | M | Rep | 2003-10-02 | 2009-04-20 | |
| 10 | Chan Yeung, Virginia Mo Bik 陳楊慕碧 | Rep | 2006-05-26 | |||
| 11 | Chan, Amy Yuen Han 陳婉嫻 | F | Rep | 2008-08-28 | ||
| 12 | Chan, Andy Kok Heng | Rep | 2010-05-20 | |||
| 13 | Chan, Brian Hon Kei 陳漢基 | M | Rep | 2004-04-15 | 2009-04-22 | |
| 14 | Chan, Chak Ming (SFC:AJM690) 陳則明 | Rep | 2004-02-25 | 2004-05-05 | ||
| 15 | Chan, Raymond Yiu Yue 陳耀宇 | M | Rep | 2004-02-16 | 2017-12-19 | |
| 16 | Chen, Yun (SFC:AKI402) 陳蘊 | Rep | 2004-04-02 | 2008-04-10 | ||
| 17 | Cheng, Jimmy Min Tat 鄭勉達 | M | RO | 2005-05-20 | ||
| 18 | Cheng, Stephen Kwok Wai 鄭國偉 | 35 | M | Rep | 2005-04-27 | |
| 19 | Cheung, Ka Che 張家熾 | Rep | 2005-07-05 | |||
| 20 | Cheung, Ronald Yat Sau 張逸修 | M | Rep | 2016-07-19 | ||
| 21 | Chik, Kin Nang 戚健能 | Rep | 2008-03-15 | |||
| 22 | Chin, David Hung I 金弘毅 | 36 | M | RO | 2004-07-01 | |
| 23 | Chin, Michael Jaewuk | M | Rep | 2006-09-04 | ||
| 24 | Chiu, Yuk Ha | Rep | 2003-08-19 | 2007-03-01 | ||
| 25 | Chu, Danny Wai Kit 朱偉傑 | Rep | 2006-09-02 | |||
| 26 | Chu, Peter | M | Rep | 2004-04-14 | 2007-02-23 | |
| 27 | Chung, Suk Moon 鄭碩紋 | Rep | 2004-06-03 | |||
| 28 | Cin, Chang Sik | Rep | 2018-12-29 | |||
| 29 | Clifford, Timothy Edward | M | Rep | 2004-08-07 | ||
| 30 | Coffeng, John Martinus (SFC:ADJ820) | M | Rep | 2010-09-06 | ||
| 31 | Combalot, Laurent Benoit Georges | M | Rep | 2009-05-06 | ||
| 32 | Debow, Sean Herbert 狄寶生 | M | Rep | 2005-03-02 | ||
| 33 | Ding, Yibing 丁一賓 | Rep | 2004-07-01 | |||
| 34 | Donald, Luke Geoffrey | M | Rep | 2004-03-01 | 2007-04-14 | |
| 35 | Donnelly, Brian Patrick | M | Rep | 2004-03-29 | 2004-06-29 | |
| 36 | Fang, Dongming 房東明 | Rep | 2007-12-08 | |||
| 37 | Fok, Ronald King Man 霍敬文 | 27 | M | Rep | 2018-05-04 | |
| 38 | Gaiser, Florian | Rep | 2004-05-17 | |||
| 39 | Gaw, Christina 吳燕安 | 32 | F | Rep | 2008-06-14 | |
| 40 | Gooding, Nial Dennis Henry 劉國誠 | 45 | M | Rep | 2010-03-19 | |
| 41 | He, Lang | Rep | 2004-02-25 | 2007-03-29 | ||
| 42 | Henley, Robert Alexander | M | Rep | 2006-04-01 | ||
| 43 | Ho, Diana Pui Kwan 何佩君 | F | Rep | 2011-10-18 | ||
| 44 | Ho, Kwok Chung (SFC:AAB905) 何國仲 | Rep | 2008-05-07 | |||
| 45 | Ho, Tsz Leung 何子樑 | Rep | 2003-09-02 | 2018-06-05 | ||
| 46 | Ho, Yuk (SFC:AJC804) 何旭 | Rep | 2003-08-06 | 2006-03-03 | ||
| 47 | Hosie, Neil Cameron | M | Rep | 2004-05-28 | ||
| 48 | Houssian, Iven | Rep | 2004-07-06 | |||
| 49 | Hu, Joy Lan Ya 胡嵐雅 | Rep | 2003-09-30 | 2009-04-15 | ||
| 50 | Hui, Alice Suk Fong 許淑芳 | F | Rep | 2007-01-25 | ||
| 51 | Hung, Gary Lok Ming 熊洛銘 | M | Rep | 2006-03-04 | ||
| 52 | Hunt, Christopher James Andrews | M | Rep | 2011-07-27 | ||
| 53 | Jacobson, John Brennan | M | RO | 2003-09-02 | 2006-04-03 | |
| 54 | Johnson, Pekka David (SFC:ADL598) | M | Rep | 2005-03-21 | ||
| 55 | Khoo, Chiew Cheng 邱秋清 | Rep | 2006-04-21 | |||
| 56 | Kim, Susan Eun | F | Rep | 2008-05-07 | ||
| 57 | Kwan, Sing Yuen 關承遠 | Rep | ||||
| 58 | Kwong, Marcus Mann 鄺孟芹 | M | Rep | 2004-03-31 | 2009-04-25 | |
| 59 | Lai, Paul Wai Tsun 賴維津 | M | Rep | 2004-07-01 | ||
| 60 | Lam, Cynthia Wan Yee 林蘊怡 | F | Rep | 2003-12-30 | 2005-09-03 | |
| 61 | Lam, Franklin Fan Keung 林奮強 | 44 | M | Rep | 2005-04-27 | |
| 62 | Lam, Hu Yang 林曉陽 | Rep | 2006-09-16 | |||
| 63 | Lam, Vanessa Yuk Yee 林玉儀 | F | Rep | 2006-08-26 | ||
| 64 | Lau, Marcus Chi Chiu 劉志超 | M | Rep | 2006-06-08 | ||
| 65 | Law, Wendy Wing Chi 羅穎芝 | F | Rep | 2005-06-13 | ||
| 66 | Lee, Christopher Fai Man 李輝敏 | 38 | M | Rep | 2010-03-22 | |
| 67 | Lee, Hyun Jae (SFC:AHN694) 李賢宰 | Rep | 2007-04-19 | |||
| 68 | Lee, Sang Kyo | Rep | 2004-04-20 | 2010-05-11 | ||
| 69 | Lee, Simon Chun Kit 李俊傑 | 28 | M | Rep | 2009-04-22 | |
| 70 | Lee, Won Jong | Rep | 2010-07-05 | |||
| 71 | Leong, Vui Ling 梁偉靈 | Rep | 2006-03-01 | |||
| 72 | Lepper, David Anthony (SFC:AGJ984) | M | Rep | 2008-07-16 | ||
| 73 | Lim, Meng Phong 林明鳳 | Rep | 2017-06-28 | |||
| 74 | Lo, Michael Sai Cheong 盧世昌 | M | Rep | 2003-11-25 | 2004-05-05 | |
| 75 | Look, Andrew 陸東 | 39 | M | Rep | 2007-07-05 | |
| 76 | Louie, Paul Kwok Yi 雷國怡 | M | Rep | 2005-07-19 | ||
| 77 | Lu, Edmund Lingjian 盧淩堅 | M | Rep | 2005-03-29 | ||
| 78 | Luk, Terence (SFC:AGI503) 陸凱賢 | M | Rep | 2006-01-28 | ||
| 79 | Ma, Kwun Yea 馬君意 | Rep | 2006-02-28 | |||
| 80 | McQueen, Lee Michael | M | RO | 2004-01-09 | 2005-05-10 | |
| 81 | Melwani, Rajesh Ramesh (SFC:AEU252) | M | Rep | 2010-01-26 | ||
| 82 | Mou, Newman Siu Bun 繆肇彬 | Rep | 2006-06-15 | |||
| 83 | Ng, Diana Tze Chiew 黃紫秋 | F | Rep | 2004-10-20 | ||
| 84 | Ng, Kenneth Chi Keung 吳志強 | M | Rep | 2004-02-25 | 2005-03-09 | |
| 85 | Ng, Siok Leng (SFC:AFM257) 黃淑玲 | Rep | 2003-10-14 | 2008-05-14 | ||
| 86 | Norris, Richard (SFC:AHG719) | M | Rep | 2004-05-18 | ||
| 87 | Orgill, Bradley Wayne | M | RO | 2005-03-24 | ||
| 88 | Pang, Kenneth Kwok Kit 彭國傑 | M | Rep | 2009-04-08 | ||
| 89 | Park, Min | Rep | 2004-07-29 | |||
| 90 | Patel, Jinesh Kiran | Rep | 2006-06-24 | |||
| 91 | Pecot III, Charles Matthew | 44 | M | Rep | 2005-04-27 | |
| 92 | Peng, Chai Wei | Rep | 2004-04-02 | 2007-05-15 | ||
| 93 | Pickstone, Julian Charles (SFC:AFT961) | M | Rep | 2007-09-03 | ||
| 94 | Pink, Nicholas Alexander | M | Rep | 2004-03-31 | 2004-07-08 | |
| 95 | Po, Alice Wai Sze 保慧思 | F | Rep | 2005-08-18 | ||
| 96 | Poon, Ada Ho Yan 潘可欣 | F | Rep | 2004-07-01 | ||
| 97 | Poon, Ming Pui 潘明培 | M | RO | 2005-03-30 | ||
| 98 | Rabinowitz, David | M | Rep | 2010-09-06 | ||
| 99 | Redbourn, Paul Robert (SFC:AFQ906) | M | Rep | 2010-10-15 | ||
| 100 | Robertson, Simon Montague | M | Rep | 2010-04-09 | ||
| 101 | Ross, Timothy Wakefield | M | Rep | 2005-05-03 | ||
| 102 | Sanchez, Marlon Mikhail | M | Rep | 2006-05-16 | ||
| 103 | Saunders, Scott Antony | M | RO | 2005-05-20 | ||
| 104 | Saxvik, Eric Bradley | M | Rep | 2012-04-13 | ||
| 105 | Sim, Colin Ching Wern | M | Rep | 2007-06-14 | ||
| 106 | So, Ferdinand 蘇平恩 | Rep | 2004-03-26 | 2007-07-17 | ||
| 107 | Sohn, Bill Eun-Seok | M | Rep | 2007-01-23 | ||
| 108 | Stutsman, Andrea Jean | F | Rep | 2006-05-01 | ||
| 109 | Suen, Benny Hung Kit 孫雄傑 | M | Rep | 2009-04-22 | ||
| 110 | Sum, Hing Man 岑慶文 | Rep | 2014-04-11 | |||
| 111 | Sun, Lucy Shin Su 孫心樹 | F | Rep | 2003-05-15 | 2005-06-15 | |
| 112 | Tan, Lien Seng | Rep | 2005-03-21 | |||
| 113 | Tan, Nicholas Chye Seng | 31 | M | Rep | 2004-05-31 | |
| 114 | Tan, Yew Boon 陳友文 | Rep | 2004-05-04 | |||
| 115 | Tetzlaff, Juergen | Rep | 2004-02-12 | 2005-11-26 | ||
| 116 | Thomas, Rebecca Judith | F | Rep | 2004-05-13 | ||
| 117 | Tinker, Dylan Carlo | 36 | M | Rep | 2005-04-11 | |
| 118 | Tse, Shirley Sze Wan 謝詩韻 | F | Rep | 2009-11-30 | ||
| 119 | Vine, Carl David (SFC:AFY718) | M | Rep | 2004-04-26 | 2005-07-05 | |
| 120 | Wadle, John Allen | M | Rep | 2009-04-07 | ||
| 121 | Wang, Peng (SFC:AJM687) 王鵬 | Rep | 2004-02-25 | 2004-12-14 | ||
| 122 | Wareham, Olivia Louise | F | Rep | 2004-02-25 | 2004-07-06 | |
| 123 | Wei, Ying (SFC:AJM685) 魏莹 | Rep | 2004-02-25 | 2007-06-16 | ||
| 124 | Williams, Sian Elizabeth (SFC:ADT132) | F | Rep | 2004-05-28 | ||
| 125 | Wong, Angel Po Kit 黃寶潔 | Rep | 2004-01-30 | 2006-07-08 | ||
| 126 | Wong, Constance 黃子欣 | F | Rep | 2008-05-24 | ||
| 127 | Wong, Eric Chun Yu 王震宇 | M | Rep | 2011-03-10 | ||
| 128 | Wong, Jenny Chieh Lu 王潔如 | F | Rep | 2006-06-17 | ||
| 129 | Wong, Stephen (SFC:AJO207) 黃錦豪 | M | Rep | 2004-03-19 | 2008-04-30 | |
| 130 | Woodland, Emily Jane | F | Rep | 2003-10-14 | 2012-03-19 | |
| 131 | Wooldridge, Duncan Samuel | M | Rep | 2003-06-27 | 2017-06-10 | |
| 132 | Wu, Chi Wai (SFC:AIQ683) 胡志威 | Rep | 2011-10-24 | |||
| 133 | Wu, Hai Feng (SFC:ADI733) 吳海鋒 | Rep | 2004-03-01 | 2009-01-10 | ||
| 134 | Wu, James Yun | M | Rep | 2009-05-13 | ||
| 135 | Yang, Heidi Hoi Ti 楊凱蒂 | 34 | F | Rep | 2003-05-09 | 2004-07-06 |
| 136 | Yang, Kai (SFC:ADW509) 楊凱 | Rep | 2004-07-01 | |||
| 137 | Yin, He 尹賀 | Rep | 2004-02-25 | 2007-06-16 | ||
| 138 | Yip, Shuk Ling 葉淑玲 | Rep | 2009-12-03 | |||
| 139 | Yoon, Chi Won | RO | 2003-09-15 | 2005-06-09 | ||
| 140 | Yu, Jason Wah Chiu 余華超 | M | RO | 2005-03-24 | ||
| 141 | Yu, Kok Leung 余國良 | Rep | 2006-03-12 | |||
| 142 | Yuen, Nicole Shuk Kam 袁淑琴 | 42 | F | RO | 2005-03-24 | |
| 143 | Yung, Tak Man (SFC:AHK660) 翁德敏 | Rep | 2014-06-10 | |||
| 144 | Zhang, Joe Hua Qiao 張化橋 | 41 | M | Rep | 2006-03-23 | |
| 145 | Zhang, Yi (SFC:AJN700) 張毅 | Rep | 2004-03-11 | 2005-05-03 |
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