UBS SECURITIES ASIA LIMITED

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Activity type:

SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2004
SFC ID Role From Until
1 Anderson, Michael James (SFC:ABX611) M ABX611 Rep 2006-07-01
2 Au, Alexander Pak Cheung 區柏祥 28 M AKP472 Rep 2004-05-18 2008-03-11
3 Au, Eva Sin Yee 區善宜 F ADV071 Rep 2003-09-08 2008-10-04
4 Basham, Caroline Charlotte F AFU065 Rep 2004-08-17
5 Beshke, Clarence John M ADS271 RO 2010-10-15
6 Blackburn, Andrew James (SFC:AJE473) M AJE473 Rep 2003-09-29 2003-12-10
7 Bodek, Haim Yigal AJJ914 Rep 2004-03-15 2004-06-15
8 Bourgeois, Eva Maria F AJN952 Rep 2004-03-10 2008-03-14
9 Bradshaw, John (SFC:AHC328) M AHC328 Rep 2012-03-29
10 Brown, Marcus William Ross (SFC:AGH930) M AGH930 Rep 2003-06-25
11 Burnett, Peter William (SFC:ADX522) 44 M ADX522 RO 2003-06-25
12 Cavatoni, Joseph Roland M AFY750 Rep 2003-10-02 2009-04-20
13 Chan Yeung, Virginia Mo Bik 陳楊慕碧 ADY936 Rep 2006-05-26
14 Chan, Amy Yuen Han 陳婉嫻 F ADY964 Rep 2008-08-28
15 Chan, Andy Kok Heng AFC953 Rep 2010-05-20
16 Chan, Brian Hon Kei 陳漢基 M AKI936 Rep 2004-04-15 2009-04-22
17 Chan, Kelly Ka Yiu 陳家耀 F AKU966 Rep 2004-06-15 2006-06-13
18 Chan, Mark Man Wai 陳孟為 M ABR486 Rep 2003-04-09
19 Chan, Raymond Yiu Yue 陳耀宇 M AHA800 Rep 2004-02-16 2017-12-19
20 Chan, Vincent Cheong Wa 陳昌華 M ACA303 Rep 2004-04-29
21 Chan, Winnie (SFC:AFD453) 陳韻妮 F AFD453 Rep 2003-06-25
22 Chang, Walter 陳華德 M ABT445 Rep 2004-04-21
23 Chao, Benjamin Sze Chung 趙思聰 M AKW740 Rep 2004-06-25 2006-10-04
24 Cheng, James Vincent M AIC014 Rep 2004-04-29
25 Cheng, Jimmy Min Tat 鄭勉達 M ACV741 RO 2005-05-20
26 Cheung, Ronald Yat Sau 張逸修 M AHJ471 Rep 2016-07-19
27 Chi, Alex Lai Hoi 朱禮開 AED013 Rep 2003-10-31 2004-03-08
28 Chia, Tse Ern AFO306 Rep 2004-03-26
29 Chin, Michael Jaewuk M ACZ609 Rep 2006-09-04
30 Chow, Siu Han 周笑嫻 ADX152 Rep 2003-06-25
31 Chu, Peter M AIR824 Rep 2004-04-14 2007-02-23
32 Chung, Rex Richard Kyuchang M AEI990 Rep 2003-06-25
33 Chung, Suk Moon 鄭碩紋 AEK432 Rep 2004-06-03
34 Cin, Chang Sik AHM834 Rep 2018-12-29
35 Clifford, Timothy Edward M AFH048 Rep 2004-08-07
36 Coffeng, John Martinus (SFC:ADJ820) M ADJ820 Rep 2010-09-06
37 Combalot, Laurent Benoit Georges M AHC015 Rep 2009-05-06
38 Cox, Carrie Bigelow F ADR668 Rep 2004-04-15
39 Donald, Luke Geoffrey M AJM931 Rep 2004-03-01 2007-04-14
40 Donegan, Christopher M ALN163 Rep 2004-11-30 2006-05-05
41 Dong, Hui (SFC:ALN997) 董慧 ALN997 Rep 2004-12-14 2005-07-07
42 Donnelly, Brian Patrick M AJJ924 Rep 2004-03-29 2004-06-29
43 Dowie, Mark Peter Louden 43 M ADC078 RO 2004-04-01
44 Easterbrook, Trevor Stephen M AGX021 Rep 2004-02-23
45 Eum, Anna F ALI355 Rep 2004-10-12 2008-03-21
46 Fang, Dongming 房東明 AFE991 Rep 2007-12-08
47 Fisher, Jocelyn Howard M AFB130 Rep 2004-03-15
48 Fok, Ronald King Man 霍敬文 27 M AGE025 Rep 2018-05-04
49 Gaw, Christina 吳燕安 32 F ACS896 Rep 2008-06-14
50 Ghag, Arvinderpal AIB940 Rep 2004-04-27
51 Gooding, Nial Dennis Henry 劉國誠 45 M ABS538 Rep 2010-03-19
52 Henley, Robert Alexander M AHR011 Rep 2006-04-01
53 Ho, Diana Pui Kwan 何佩君 F ABY481 Rep 2011-10-18
54 Ho, Kwok Chung (SFC:AAB905) 何國仲 AAB905 Rep 2008-05-07
55 Ho, Stanley Yaun 何仁 M AGA624 Rep 2003-06-25
56 Ho, Tat Shing 何達成 AHA554 Rep 2003-08-21
57 Ho, Tsz Leung 何子樑 AJD615 Rep 2003-09-02 2018-06-05
58 Ho, Yuk (SFC:AJC804) 何旭 AJC804 Rep 2003-08-06 2006-03-03
59 Hodges, Tamera Jane F AKO623 Rep 2004-05-11 2004-08-10
60 Holland, John Michael Morgan 41 M AFR867 RO 2003-11-11
61 Hong, Shaw-Shiun 洪紹勛 ALC783 Rep 2004-08-20 2009-04-22
62 Hoong, Chris Cheong Thard 孔祥達 36 M ACB773 Rep 2003-05-15
63 Hosie, Neil Cameron M AHQ348 Rep 2004-05-28
64 Houssian, Iven ADQ120 Rep 2004-07-06
65 Hsu, Karen Chia Lin 徐嘉琳 F ACO622 Rep 2004-02-23
66 Hu, Joy Lan Ya 胡嵐雅 AFV219 Rep 2003-09-30 2009-04-15
67 Hung, Gary Lok Ming 熊洛銘 M ADY288 Rep 2006-03-04
68 Hunt, Christopher James Andrews M AHR004 Rep 2011-07-27
69 Jacobson, John Brennan M ACV752 Rep 2003-09-02
RO 2003-09-02 2006-04-03
70 Jeong, Joseph Chu M AEY997 Rep 2003-07-29
71 Johnson, Pekka David (SFC:ADL598) M ADL598 Rep 2005-03-21
72 Johnston, Richard William M AET370 Rep 2004-04-14
73 Khoo, Chiew Cheng 邱秋清 AEJ606 Rep 2005-03-24
74 Kim, Susan Eun F AIB938 Rep 2008-05-07
75 Koo, Kelvin Kwok Cheung 顧國祥 M ALA263 Rep 2004-07-26 2008-07-23
76 Kuan, Shu Shin 關素馨 AET363 Rep 2004-03-12
77 Kwan, Sing Yuen 關承遠 ABW052 Rep
78 Kwong, Marcus Mann 鄺孟芹 M AFU388 Rep 2004-03-31 2009-04-25
79 Lai, Paul Wai Tsun 賴維津 M AED148 Rep 2004-07-01
80 Lai, Wing Yi 黎詠儀 AED789 Rep 2003-05-30
81 Lam, Cynthia Wan Yee 林蘊怡 F AHV111 Rep 2003-12-30 2005-09-03
82 Lam, Hu Yang 林曉陽 ADU633 Rep 2006-09-16
83 Lam, Vanessa Yuk Yee 林玉儀 F AID483 Rep 2006-08-26
84 Lau, Marcus Chi Chiu 劉志超 M AAC292 Rep 2006-06-08
85 Lau, Patricia Yan Ki 劉恩琪 25 F AIH455 Rep 2003-06-25
86 Law, Wendy Wing Chi 羅穎芝 F AHS272 Rep 2005-06-13
87 Lee, Chris C AGX022 Rep 2003-07-29
88 Lee, Christopher Fai Man 李輝敏 38 M ACW239 Rep 2010-03-22
89 Lee, Hyun Jae (SFC:AHN694) 李賢宰 AHN694 Rep 2007-04-19
90 Lee, Samuel Man Fat 李萬發 35 M ADR824 Rep 2004-12-03 2009-09-05
91 Lee, Sang Kyo AKJ143 Rep 2004-04-20 2010-05-11
92 Lee, Simon Chun Kit 李俊傑 28 M AHA361 Rep 2009-04-22
93 Lee, Won Jong AFU204 Rep 2010-07-05
94 Leong, Vui Ling 梁偉靈 AEB584 Rep 2006-03-01
95 Leung, Mary Ka Yan 梁家恩 F AEJ838 Rep 2003-06-25
96 Leung, Nancy Ann 梁學安 F AKO860 Rep 2004-05-07 2006-01-01
97 Liew, Yew Wah AET878 Rep 2004-04-28
98 Lim, Meng Phong 林明鳳 AFH049 Rep 2017-06-28
99 Look, Andrew 陸東 39 M ACO365 Rep 2005-03-24
100 Lu, Jia (SFC:AJD748) 路嘉 AJD748 Rep 2003-09-16 2003-10-17
101 Lu, Qiang (SFC:AKT411) AKT411 Rep 2004-06-07 2007-07-09
102 Luk, Terence (SFC:AGI503) 陸凱賢 M AGI503 Rep 2006-01-28
103 Ma, Kwun Yea 馬君意 AEF918 Rep 2005-03-24
104 Mackinnon, Charles Harold Hugh M AFX083 Rep 2003-04-10
105 McQueen, Lee Michael M ACR744 Rep 2004-01-09
RO 2004-01-09 2005-05-10
106 Melwani, Rajesh Ramesh (SFC:AEU252) M AEU252 Rep 2010-01-26
107 Mizoguchi, Hironori AHL612 Rep 2004-03-12
108 Mou, Newman Siu Bun 繆肇彬 ABL554 Rep 2006-06-15
109 Myers, Kevin Mitchell M ALB239 Rep 2004-08-04 2010-05-14
110 Ng, Diana Tze Chiew 黃紫秋 F ADX263 Rep 2004-10-20
111 Ng, Hooi Chong 黃慧聰 36 M ADH384 Rep 2003-04-30
112 Ng, Kenneth Chi Keung 吳志強 M AJM684 Rep 2004-02-25 2005-03-09
113 Norris, Richard (SFC:AHG719) M AHG719 Rep 2004-05-18
114 Ollerenshaw, Simon Gerald M AHD912 Rep 2003-06-25
115 Orgill, Bradley Wayne M ACR853 RO 2005-03-24
116 Pang, Kenneth Kwok Kit 彭國傑 M AEO731 Rep 2009-04-08
117 Park, Min AFA670 Rep 2004-07-29
RO 2004-07-29 2009-04-15
118 Park, Stacey ALA244 Rep 2004-07-26 2006-03-24
119 Patel, Jinesh Kiran AFQ415 Rep 2006-06-24
120 Pecot III, Charles Matthew 44 M AHA548 Rep 2005-04-27
121 Peng, Chai Wei AKI400 Rep 2004-04-02 2007-05-15
122 Perrett, David Michael (SFC:AFF191) M AFF191 Rep 2004-11-23 2009-03-26
123 Pickstone, Julian Charles (SFC:AFT961) M AFT961 Rep 2008-01-25
124 Po, Alice Wai Sze 保慧思 F ADU277 Rep 2005-03-24
125 Poon, Ada Ho Yan 潘可欣 F AFQ511 Rep 2004-07-05 2006-07-14
126 Poon, Jenny 潘珍妮 F AHR022 Rep 2003-05-24
127 Poon, Ming Pui 潘明培 M AAF320 RO 2005-03-30
128 Quah, Chiang Ming (SFC:AER425) 柯江明 AER425 Rep 2004-08-30 2017-07-15
129 Rabinowitz, David M AHW502 Rep 2004-06-02 2010-09-06
130 Rauly, Benoit M AKP008 Rep 2004-05-24 2004-08-23
131 Redbourn, Paul Robert (SFC:AFQ906) M AFQ906 Rep 2010-10-15
132 Robertson, Simon Montague M AGI097 Rep 2010-04-09
133 Sanchez, Marlon Mikhail M ADJ822 Rep 2006-05-16
134 Saunders, Scott Antony M ADC081 RO 2005-05-20
135 Saxvik, Eric Bradley M ACR775 Rep 2012-04-13
136 Sclater, Alastair James M AKY177 Rep 2004-07-16 2010-05-15
137 Sheren, Peter Jay M AKS922 Rep 2004-06-01 2005-06-15
138 Shieh, Ingrid AHA547 Rep 2004-04-29
139 Sim, Colin Ching Wern M AGN521 Rep 2007-06-14
140 Sinclair, Andrew Mark (SFC:AGP545) M AGP545 Rep 2004-04-18
141 So, Ferdinand 蘇平恩 AFO880 Rep 2004-03-26 2007-07-17
142 Stutsman, Andrea Jean F AGF487 Rep 2006-05-01
143 Suen, Benny Hung Kit 孫雄傑 M AIB797 Rep 2009-04-22
144 Sum, Hing Man 岑慶文 ABW145 Rep 2014-04-11
145 Sun, Lucy Shin Su 孫心樹 F AFE095 Rep 2003-05-15 2005-06-15
146 Sun, Steven John 孫常勝 47 M ACR153 Rep 2003-06-25
147 Sung, Yoon Kyu AKU991 Rep 2004-06-15 2020-09-07
148 Tan, Lien Seng AFK584 Rep 2005-03-21
149 Tan, Snowy Sze Ling 陳施霖 AFD553 Rep 2004-08-09 2005-06-02
150 Tan, Yew Boon 陳友文 AFS647 Rep 2004-05-04
151 Taylor, Christopher Michael (SFC:AEC940) M AEC940 Rep 2003-04-15
152 Thomas, Rebecca Judith F AHC210 Rep 2004-05-13
153 Tomlin, Owen M ALI374 Rep 2004-10-13 2007-05-28
154 Tse, Jaff Ka Wai 謝家威 ADR277 Rep 2003-04-10
155 Tse, Shirley Sze Wan 謝詩韻 F AFU564 Rep 2005-03-24
156 Tsui, Charles King 徐勁 M AGB114 Rep 2003-11-04
157 Vine, Carl David (SFC:AFY718) M AFY718 Rep 2004-04-26 2005-07-05
158 Wan, Li (SFC:AHD514) 萬里 AHD514 Rep 2004-03-08
159 Wan, Ming Sun 尹明山 31 M AGW059 Rep 2004-02-26
160 Wee, Liang Sin AHK048 Rep 2003-05-30
161 West, Colin Thomas M AFZ863 RO 2003-06-25
162 Williams, Mark Fraser M AGJ433 Rep 2003-06-25
163 Williams, Sian Elizabeth (SFC:ADT132) F ADT132 Rep 2004-05-28
164 Wong, Angel Po Kit 黃寶潔 AJK728 Rep 2004-01-30 2006-07-08
165 Wong, Constance 黃子欣 F ABR876 Rep 2008-05-24
166 Wong, Ronald Kwok Kit 黃國傑 M AEW968 Rep 2003-06-18
167 Wong, Stephen (SFC:AJO207) 黃錦豪 M AJO207 Rep 2004-03-19 2008-04-30
168 Woodland, Emily Jane F AJE851 Rep 2003-10-14 2012-03-19
169 Wu, Chi Wai (SFC:AIQ683) 胡志威 AIQ683 Rep 2011-10-24
170 Wu, James Yun M AGN747 Rep 2009-05-13
171 Xiao, Qing (SFC:AFE509) 肖清 AFE509 Rep 2003-06-25
172 Yip, Shuk Ling 葉淑玲 AEA526 Rep 2009-12-03
173 Yoo, Ji Eun ALF651 Rep 2004-09-13 2012-03-22
174 Yoon, Chi Won ACN181 Rep 2003-09-15
RO 2003-09-15 2005-06-09
175 Yu, Jason Wah Chiu 余華超 M AAD859 RO 2005-03-24
176 Yu, Johnny Ching Yan 于正人 M AKO779 Rep 2004-05-05 2017-11-11
177 Yuen, Nicole Shuk Kam 袁淑琴 42 F ACH708 RO 2005-03-24
178 Yung, Tak Man (SFC:AHK660) 翁德敏 AHK660 Rep 2014-06-10
179 Zhang, Ning (SFC:AGD246) 張宁 36 M AGD246 Rep 2004-03-11
180 Zhao, Xiao Le 趙曉樂 AGC972 Rep 2004-07-02 2004-10-28
181 Zlot, Andrew Edward M AHK662 Rep 2004-05-20 2006-08-11

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