SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2018
SFC ID Role From Until
1 Abe, Hiromi ACJ263 Rep 2011-12-19 2012-09-28
2 Abe, Takahiro 阿部考浩 AXN884 Rep 2011-08-01 2012-03-31
3 Anada, Takashi 穴田孝史 BAJ167 Rep 2012-11-21 2013-10-07
4 Arya, Parth APS569 Rep 2017-12-13 2021-03-03
5 Bainbridge, James William (SFC:BAV890) M BAV890 Rep 2017-10-24 2017-11-23
6 Berrisford, Carl Thomas M AIZ256 Rep 2004-03-16 2004-05-04
7 Bhagavath, Sunil Sudhakar BDR859 Rep 2014-07-07 2020-01-15
8 Carrigan, Nicholas M BAX003 Rep 2014-06-20 2018-08-31
9 Chan, Chi Leong 陳智亮 71 M AAK013 RO 2006-05-08 2010-10-19
10 Chan, Ching Han (SFC:BGU411) 陳靜嫻 BGU411 Rep 2016-01-12
11 Chan, Dennis Kwok Fung 陳國峰 M AMK236 Rep 2014-01-14 2020-11-16
12 Chan, Maureen Wai Ling 陳慧玲 F ACU384 Rep 2004-04-27 2011-03-18
13 Chan, Soo Sum 陳素心 AOY533 Rep 2011-01-13 2013-09-27
14 Chan, Wai Lung (SFC:AAC760) 陳偉隆 AAC760 Rep 2008-03-18
RO 2008-03-18 2018-01-01
15 Chang, Ioi Tim 曾銳添 ADZ296 Rep 2014-10-06 2015-02-04
RO 2015-02-04 2018-07-20
16 Chen, Yuan (SFC:AEJ844) 陳遠 49 M AEJ844 Rep 2006-04-10 2006-04-21
17 Cheng, Keith Teng Fong 鄭廷峰 M AXG564 Rep 2011-05-09 2011-06-28
18 Cheung, Frances 張淑嫻 F AGG658 Rep 2003-07-30 2005-10-05
19 Cheung, Warren Yui Kai 張睿佳 51 M ACX305 Rep 2011-04-08 2011-11-01
20 Cho, Taejung BKM785 Rep 2017-08-16 2018-12-14
21 Choi, Anderson Chun Fat 蔡俊發 M ANA716 Rep 2011-06-28 2017-12-22
RO 2017-12-22 2018-07-11
22 Chung, Hoh BGA457 Rep 2015-08-17 2022-04-14
23 Chung, Ka Yin 鍾嘉彥 BBC953 Rep 2013-05-10 2015-08-10
24 Cook, Geoffrey John M APB534 Rep 2017-01-26 2017-07-31
25 Fok, Allan Tse Hang 霍子恒 M AGL185 Rep 2011-03-28 2012-07-20
RO 2012-07-20 2021-07-16
26 Foo, King Wah 符敬華 ADT598 Rep 2004-06-30
27 Fukushima, Hiroyuki (SFC:BHD511) M BHD511 Rep 2016-04-01 2016-06-22
RO 2016-06-22 2019-06-03
28 Hashimoto, Kazunari BCH701 Rep 2013-12-18 2019-05-02
29 Higashio, Aya 東尾彩 F BDR563 Rep 2014-07-29 2016-08-05
30 Hill, Trevor Aaron M AGH264 Rep 2014-06-20 2022-04-11
31 Hiraoka, Emiko ALQ881 Rep 2012-02-10 2016-09-23
32 Ho, Hiu Kwan 何曉筠 BDC539 Rep 2014-08-18
33 Honda, Miwa 本田美和 AQN414 Rep 2008-03-17 2022-05-30
34 Horii, Yuko 梅野優子 AYM566 Rep 2011-12-19 2013-12-30
35 Horota, Tsuyoshi BFH179 Rep 2015-05-06 2015-05-15
36 Ip, William Wai Lun 葉偉倫 62 M AEK747 RO 2012-07-20 2020-10-30
37 Isotani, Kengo AZQ054 Rep 2012-07-04 2013-04-03
38 Kato, Mayumi 加藤真由美 AFK707 Rep 2012-07-18
39 Kobayashi, Shin AZO563 Rep 2012-06-28 2014-04-07
40 Koga, Akira 古賀彰 AWK856 RO 2011-01-03 2013-03-30
41 Kwan, Chi Hong (SFC:AJB565) 關志康 AJB565 Rep 2003-08-13 2004-04-08
42 Lai, Seng Long 黎星龍 BLZ829 Rep 2018-01-15 2018-07-17
43 Lam, King Sau (SFC:BAI839) 林勁秀 BAI839 Rep 2017-08-10 2021-11-30
44 Lam, May Mei Kam 林美金 F AAE339 RO 2010-10-18
Rep 2010-10-18 2011-03-18
45 Lee, Jiin Yih 李謹亦 AML646 Rep 2005-11-04 2007-09-11
46 Leung, Chun Shing 梁俊成 ALG206 Rep 2004-11-12 2007-09-15
47 Leung, Shu Tung 梁樹彤 BHI004 Rep 2016-05-18 2017-12-28
48 Li, Zhenyu (SFC:AKN225) 李震宇 AKN225 Rep 2017-11-06 2019-02-10
49 Lin, Ka Ho 連嘉豪 AMR825 Rep 2005-12-29 2007-12-13
50 Liu, Shuang (SFC:AHO649) 劉爽 AHO649 Rep 2006-12-01 2007-11-11
51 Lok, Colin Wai Hung 駱偉雄 M ASU015 Rep 2014-02-13 2017-10-27
52 Long, Lydia Soong Leng F BMM364 Rep 2018-03-06 2018-10-10
53 Louey, Cynthia Petrina 雷麗儀 F AOT558 Rep 2007-05-30 2009-04-08
54 Lu, Ta-Wen 陸大文 ABI262 RO 2008-09-19 2008-11-28
55 Lui, Andrew Kwan Ho 呂君皓 M ANH163 Rep 2007-12-19 2008-10-17
56 Man, Kon Sum 文幹森 AFI890 Rep 2004-10-15 2005-07-08
57 Man, Sunny Ho Kit 文浩傑 AMZ965 Rep 2006-03-07 2006-10-20
58 Maruyama, Masashi ACB305 RO 2011-01-03 2012-10-22
59 Mitsui, Akira BFV016 Rep 2015-07-14 2019-11-26
60 Mizutani, Tatsumi 水谷竜美 ACL455 RO 2017-11-16 2018-05-14
61 Mochizuki, Yuki 望月優樹 F BGD499 Rep 2015-09-02 2021-06-01
62 Morii, Fumihide 守井文英 AXL520 Rep 2011-07-21 2012-03-30
63 Naka, Kazuhito 那珂和人 BDC123 Rep 2014-03-10 2014-07-25
RO 2014-07-25 2019-11-18
64 Nakauchi, Kozue 仲內梢 AVY319 Rep 2011-06-07 2011-09-06
65 Ng, Choi Lun 吳采倫 ANM042 Rep 2011-07-05 2014-01-26
66 Ng, Pauline Po Yuen 吳溥潤 F AAE985 Rep 2006-04-03 2008-05-30
67 Noguchi, Kenji AZI956 RO 2012-07-20 2020-04-09
68 O'Boyle, Gerald Keith M AEI662 Rep 2013-10-21 2014-12-03
69 Ohnuma, Kenta BDU344 Rep 2014-07-18 2015-04-01
70 Pervez, Ahsan (SFC:AJO361) AJO361 Rep 2015-06-01 2017-07-06
Rep 2018-03-01 2018-03-24
71 Sakai, Michinari 坂井道成 BBJ611 Rep 2013-07-03 2014-04-07
72 Sampson, Machiko AJI380 Rep 2011-04-26 2018-10-11
73 Sato, Hiromi (SFC:ANS087) 佐藤弘美 ANS087 RO 2007-01-18 2012-06-29
74 Shimamoto, Arisa 嶌本有紗 BGM560 Rep 2015-11-16
75 Shino, Koa 藤崎小亞 ANU240 Rep 2017-07-21 2021-05-14
76 Siu, Ruby Pui Kay 蕭珮琪 F AGW561 Rep 2014-06-30 2014-10-24
RO 2014-10-24 2018-10-28
77 Surenkok White, Inci Irmak APD602 Rep 2007-06-26 2007-07-30
78 Suzuki, Kiyoko 鈴木清子 AXE045 Rep 2011-04-21 2020-04-15
79 Tada, Emiko AWY707 Rep 2011-04-29 2019-06-13
80 Tai, Kit Han 戴潔嫻 AWL052 Rep 2011-01-07 2014-08-25
81 Tam, Ming Yan (SFC:APL478) 譚銘忺 APL478 Rep 2014-12-12 2023-07-31
82 Tamura, Hitoshi 田村仁志 AZI957 RO 2012-06-01 2016-06-30
83 Tang, Tsz Yan Janice 鄧子欣 ATI680 Rep 2014-01-29 2019-02-10
84 Tang, Wai Hung (SFC:ADI418) 鄧偉雄 ADI418 Rep 2015-09-15 2016-03-04
RO 2016-03-04 2021-03-01
85 Tateishi, Tsuyoshi 立石剛史 AXI124 Rep 2011-06-28 2012-06-29
86 Truelove, Keith Alan M AWF626 Rep 2016-02-23 2017-11-16
87 Tsim, Hon Keung 詹漢強 APW801 Rep 2007-12-20 2008-12-05
88 Tsutsumi, Kazumasa 堤一將 ARA418 Rep 2012-10-29 2014-02-06
89 Tu, Chia-Le Carol F AOT598 Rep 2007-06-20 2009-03-06
90 Ushijima, Shinsuke 牛島真丞 BAJ594 RO 2012-12-27 2014-03-26
91 Van Gulik, Robert Ken M ASU202 Rep 2011-01-19 2015-08-31
92 Wong, Benny Man San 黃文山 M ADN019 Rep 2003-07-24 2004-02-17
93 Wong, Chin Hung (SFC:AYF489) 黃展鴻 AYF489 Rep 2011-10-26 2012-12-21
94 Wong, Kwan Ting 黃君婷 BEM202 Rep 2014-11-17 2024-06-03
95 Wu, Tsz Yee 胡子宜 AAV288 Rep 2006-12-04 2007-10-02
96 Wu, Yu Han 吳宇涵 BHK210 Rep 2016-05-03 2016-05-13
97 Xu, Rui (SFC:AXK860) 徐睿 AXK860 Rep 2011-06-16 2012-12-31
98 Yamagami, Shinichiro AYG572 Rep 2018-01-15 2018-05-08
99 Yamamoto, Hideki 山本秀樹 AXO657 Rep 2011-07-08 2012-04-26
RO 2012-04-26 2019-07-05
100 Yasuda, Tairyu 安田太龍 AXL490 Rep 2011-08-01 2012-03-30
101 Ye, Mingyuan 葉鳴遠 AMJ300 Rep 2017-11-02 2018-05-07
102 Yeh, Man Hsuan 葉蔓萱 BJD212 Rep 2018-01-11 2021-02-17
103 Yeung, Kent Lai Wing 楊禮榮 AIC463 Rep 2004-08-17 2005-02-08
104 Yeung, Pui Yam 楊培欽 AXK444 Rep 2011-06-13 2012-07-25
105 Ying, Hak Kai 應克佳 AGA425 Rep 2010-12-28 2014-11-11
106 Yip, Shui Key 葉紹基 ACS410 RO 2004-08-11 2005-11-18
107 Yonts, Charles Anthony M AJM207 Rep 2004-04-01 2004-10-18
108 Yoshikawa, Ryosuke AZK069 Rep 2012-05-22 2013-03-29
109 Yoshikawa, Tatsuhiro 吉川龍拓 AXI125 Rep 2011-06-28 2015-04-01
110 Yu, Hoi Kit 余凱傑 AMW555 Rep 2006-02-16 2006-03-03
111 Yu, Maggie H W 余曉樺 F BIY639 Rep 2017-01-23 2017-11-14
112 Yuen, Man Yan 袁文茵 AAE316 RO 2010-10-18
Rep 2010-10-18 2011-03-18
113 Zhang, Qiangang 張乾剛 ABW737 RO 2011-06-16 2021-10-20
114 Zhang, Ruiyue (SFC:AZB698) 張瑞玥 AZB698 Rep 2014-04-02 2016-01-22
115 Zhang, Ruizhi (SFC:BIY029) 張銳之 BIY029 Rep 2017-10-27 2019-02-14
116 Zhang, Sensen (SFC:AZC333) 張森森 AZC333 Rep 2012-03-19 2013-04-14
117 Zhang, Xuyan 張旭妍 BMM382 Rep 2018-03-06 2019-12-04
118 Zhang, Yang (SFC:AXK580) 張揚 AXK580 Rep 2011-06-13 2014-09-17
119 Zheng, Zhonghui (SFC:BAB338) 鄭鍾慧 BAB338 Rep 2012-09-17 2024-06-03
120 Zhu, Roujia 朱柔嘉 BAY184 Rep 2016-03-17 2019-09-06

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