UBS SECURITIES ASIA LIMITED

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2009
SFC ID Role From Until
1 Akov, Nedeltcho Jelev APL839 Rep 2007-09-03 2008-08-08
2 Anderson, Michael James (SFC:ABX611) M ABX611 Rep 2005-03-24
3 Armanazi, Zayd AOR600 Rep 2007-03-16 2007-06-15
4 Arnold, Melanie Lynn F AOX205 Rep 2007-05-29 2008-09-01
5 Arora, Dhruv (SFC:ARG980) ARG980 Rep 2008-07-04 2015-04-30
6 Au, Alexander Pak Cheung 區柏祥 33 M AKP472 Rep 2004-05-18 2008-03-11
7 Balani, Pankaj APC890 Rep 2007-06-25 2008-06-01
8 Bansal, Navneet Kumar M ANU797 Rep 2006-08-24 2010-03-25
9 Barros Iii, Belmiro Jose AEL713 Rep 2006-10-02 2007-03-30
10 Beshke, Clarence John M ADS271 RO 2010-10-15
11 Bhumiratana, Master Sanu AOB633 Rep 2006-10-24 2025-08-22
12 Blackburn, Andrew James (SFC:AJE473) M AJE473 Rep 2003-09-29 2003-12-10
13 Bodek, Haim Yigal AJJ914 Rep 2004-03-15 2004-06-15
14 Bodenheimer, Joseph Mark M AOX209 Rep 2007-05-29 2009-11-24
15 Bourne, Andrew Robert (SFC:AOY105) M AOY105 Rep 2007-05-16 2010-03-11
16 Bradshaw, John (SFC:AHC328) M AHC328 Rep 2012-03-29
17 Bradshaw, Stephanie 李婉青 F AMB744 Rep 2005-06-10 2007-12-22
18 Braitsch, Joseph Lawrence M AUC177 Rep 2009-11-09 2012-09-07
19 Burns, Leonard Carter M AOX199 Rep 2007-05-29 2011-02-22
20 Casati, Andrea (SFC:AMW488) F AMW488 Rep 2006-01-11 2006-04-16
21 Chan, Andrea Wai Ming 陳慧明 F ALB904 Rep 2006-08-16 2007-04-14
22 Chan, Andy Kok Heng AFC953 Rep 2005-10-25 2011-02-16
23 Chan, Brian Hon Kei 陳漢基 M AKI936 Rep 2004-04-15 2009-04-22
24 Chan, Mark Man Wai 陳孟為 M ABR486 Rep 2003-04-09
25 Chan, Raymond Yiu Yue 陳耀宇 M AHA800 Rep 2008-06-05 2017-12-19
26 Chang, Vaughn Yu Wen 張聿文 ACC583 Rep 2006-09-25 2010-06-07
27 Chau, Kwok Wai (SFC:ATN585) 周國威 ATN585 Rep 2009-08-11 2020-10-30
28 Chaudhry, Mateen AOO558 Rep 2007-05-16 2008-05-10
29 Cheng, Ada Tung Ying 鄭東熒 F AFX315 Rep 2008-06-10 2010-03-31
30 Cheng, Jimmy Min Tat 鄭勉達 M ACV741 RO 2005-05-20
Rep 2005-05-20 2007-04-28
31 Cheuk, So Wah 卓素華 ARB609 Rep 2008-08-14
32 Cheung, Ronald Yat Sau 張逸修 M AHJ471 Rep 2008-06-05 2016-07-19
33 Chew, Jason Chiat Tsen 周傑昇 M AIN850 Rep 2008-06-05 2010-03-12
34 Chiu, Winnie Mo Sze 趙慕詩 F AFT535 Rep 2009-09-28 2012-11-10
35 Chu, Peter M AIR824 Rep 2004-04-14 2007-02-23
36 Chung, Rex Richard Kyuchang M AEI990 Rep 2003-06-25
37 Coffeng, John Martinus (SFC:ADJ820) M ADJ820 Rep 2010-09-06
38 Combalot, Laurent Benoit Georges M AHC015 Rep 2009-05-06
RO 2009-05-06 2025-02-11
39 Desai, Anil Pralhad ALS457 Rep 2005-02-16 2006-03-23
40 Donald, Luke Geoffrey M AJM931 Rep 2004-03-01 2007-04-14
41 Donnelly, Brian Patrick M AJJ924 Rep 2004-03-29 2004-06-29
42 Donovan, James William (SFC:ARA301) M ARA301 Rep 2008-05-09 2014-05-13
43 Easterbrook, Trevor Stephen M AGX021 Rep 2004-02-23
44 Fok, Ronald King Man 霍敬文 32 M AGE025 Rep 2018-05-04
45 Fong, Belinda Mun Yee 方敏怡 F AOC873 Rep 2006-11-01 2009-06-13
46 Fox, Katherine Louise Alban F ANE040 Rep 2006-03-09 2014-06-28
47 Fox, Robert (SFC:ASL255) M ASL255 Rep 2009-02-16 2011-03-09
48 Fujii, Akemi ANP294 Rep 2006-08-24 2009-04-24
49 Galea, Ronald Francis M AUG567 Rep 2009-12-14 2010-03-22
50 Gasqueres, Eric Yuya Francis M ATI745 Rep 2009-07-16 2011-05-14
51 Ge, Lijia 葛丽佳 ALB386 Rep 2009-09-02 2011-07-27
52 Gencarelli, Franco Joseph M AOA885 Rep 2006-10-09 2011-12-31
53 Goel, Kshitij AQM623 Rep 2008-07-02 2008-12-18
54 Gooding, Nial Dennis Henry 劉國誠 50 M ABS538 Rep 2008-06-05 2010-03-19
55 Gunton, Michael Andrew M AMN659 Rep 2005-09-28 2006-02-15
56 Gupta, Shivam (SFC:APC574) APC574 Rep 2007-06-18 2011-04-02
57 Hamano, Tetsuya AOY771 Rep 2007-06-05 2008-04-05
58 Henley, Robert Alexander M AHR011 Rep 2005-01-21 2006-04-01
59 Hirai, Yosuke 平井陽介 APL838 Rep 2007-08-31 2008-03-26
60 Ho, Tat Shing 何達成 AHA554 Rep 2003-06-11 2003-08-21
61 Ho, Tsz Leung 何子樑 AJD615 Rep 2003-09-02 2018-06-05
62 Ho, Yuk (SFC:AJC804) 何旭 AJC804 Rep 2003-08-06 2006-03-03
63 Holiday, Edward Richard M ALI600 Rep 2009-08-10 2018-05-16
64 Hong, Shaw-Shiun 洪紹勛 ALC783 Rep 2004-08-20 2009-04-22
65 Hosie, Neil Cameron M AHQ348 Rep 2004-05-28
66 Hsu, Karen Chia Lin 徐嘉琳 F ACO622 Rep 2004-02-23
67 Hu, Xisha 胡錫莎 ARA304 Rep 2008-05-14 2008-08-16
68 Hung, Gary Lok Ming 熊洛銘 M ADY288 Rep 2003-06-11 2006-03-04
69 Hunt, Christopher James Andrews M AHR004 Rep 2008-06-05 2016-06-23
70 Innerdale, David James M ALS810 Rep 2005-03-01 2011-06-23
71 Kanani, Sachin (SFC:ATR828) ATR828 Rep 2009-09-16 2010-04-02
72 Kansal, Mohit (SFC:ATX900) ATX900 Rep 2009-10-21 2012-03-31
73 Kengeter, Carsten Norbert (SFC:ANM959) ANM959 Rep 2009-02-09 2013-06-01
74 Kim, Susan Eun F AIB938 Rep 2005-03-31 2008-05-07
75 Kim, Yoon Seung ANW847 Rep 2007-01-25 2008-05-07
76 Kolotiy, Dmitry AUE810 Rep 2009-11-27 2012-03-12
77 Kong, Luhua 孔露華 AOL209 Rep 2007-01-18 2007-08-04
78 Kushal, Avanish Mira APF472 Rep 2007-07-04 2009-08-15
79 Kwan, Sing Yuen 關承遠 ABW052 Rep 2008-08-29
80 Kwong, Marcus Mann 鄺孟芹 M AFU388 Rep 2005-03-31 2009-04-25
81 Kwong, Myron Mann 鄺孟恆 ANR646 Rep 2006-07-24 2022-06-30
82 Lai, Johnson Kai Tsun 黎啟進 M ARG205 Rep 2008-07-02 2009-07-10
83 Lam, Eric Christopher M AQA564 Rep 2007-11-26 2008-02-24
Rep 2008-02-28 2008-12-18
84 Lam, Hu Yang 林曉陽 ADU633 Rep 2003-06-11 2006-09-16
85 Lam, Hung Kai 林鴻楷 ACZ478 Rep 2009-12-08 2017-07-15
86 Lau, Marcus Chi Chiu 劉志超 M AAC292 Rep 2006-06-08
87 Lea, Robert Michael M ATL432 Rep 2009-07-31 2011-04-29
88 Lee, Brian Dongwon M AOK584 Rep 2007-01-12 2009-03-20
89 Lee, Gregory Joseph M APD818 Rep 2007-06-28 2009-04-24
90 Lee, Hyun Jae (SFC:AHN694) 李賢宰 AHN694 Rep 2007-04-19
91 Lee, Michel Kai Tai 李啟泰 M AOJ780 Rep 2007-01-08 2011-11-25
92 Lee, Samuel Man Fat 李萬發 40 M ADR824 Rep 2004-12-03 2009-09-05
93 Lee, Scott Jun-Yong M ARJ302 Rep 2008-07-24 2008-08-24
94 Lee, Sharon Chee Ling 呂紫玲 F ALQ957 Rep 2005-01-26 2010-03-08
95 Lee, Simon Chun Kit 李俊傑 33 M AHA361 Rep 2009-04-22
96 Lee, Yik Long 李奕朗 ARG942 Rep 2008-07-04 2009-07-18
97 Lee, Yoon Cho AOX771 Rep 2007-05-21 2008-01-03
98 Lei, Baoxi 雷宝溪 AQA678 Rep 2007-11-23 2012-03-27
99 Lent, Nicholas Alexander M APC030 Rep 2007-06-14 2011-06-28
100 Leung, Andrew Jason M ANV051 Rep 2008-04-15 2008-05-15
101 Leung, Nancy Ann 梁學安 F AKO860 Rep 2006-09-04 2007-08-04
102 Lewis, Gareth Rhys (SFC:AOX202) M AOX202 Rep 2007-05-29 2008-06-23
103 Li, Anita Oi Yan 李靄欣 F AGP627 Rep 2008-08-20 2016-03-16
104 Li, Chun Wai (SFC:AOL205) 李俊蔚 AOL205 Rep 2009-08-28 2016-06-21
105 Li, Jing (SFC:AOV618) 李菁 AOV618 Rep 2007-05-08 2012-12-22
106 Li, Man Wing 李文穎 AJO743 Rep 2005-04-01 2014-10-01
107 Li, Mavis Qiwen 李綺雯 F AMF022 Rep 2005-10-25 2017-12-21
108 Liew, Yew Wah AET878 Rep 2003-05-06 2004-04-28
109 Lim, Meng Phong 林明鳳 AFH049 Rep 2017-06-28
110 Liu, David Wai Chang 廖維彰 M ALW919 Rep 2008-05-09 2008-08-09
111 Lo, Shui Wah 盧萃樺 AOB249 Rep 2006-10-18 2007-05-15
Rep 2008-12-15 2014-04-11
112 Lu, Hao Feng 呂豪鋒 ARI634 Rep 2008-07-21 2012-11-15
113 Luk, Terence (SFC:AGI503) 陸凱賢 M AGI503 Rep 2005-10-25 2006-01-28
114 Lynch, Simon James M AMW694 Rep 2006-01-09 2006-02-09
Rep 2006-07-05 2006-07-12
Rep 2007-08-01 2009-05-13
115 Maclean, Hamish Alexander M ANQ332 Rep 2006-07-10 2008-04-09
116 Maguire, Raymond M ANZ631 Rep 2006-09-29 2008-10-18
117 Man, Kam Chiu 文錦超 AAX339 Rep 2006-10-02 2008-04-17
118 Mao, Jun (SFC:ATL681) 毛隽 46 F ATL681 Rep 2009-07-29 2010-01-20
119 McCormick, Neil John M ATX904 Rep 2009-11-11 2010-06-21
120 McQueen, Lee Michael M ACR744 Rep 2005-05-10 2009-04-04
121 Melwani, Rajesh Ramesh (SFC:AEU252) M AEU252 Rep 2010-01-26
122 Misumi, Genichiro AOX258 Rep 2007-05-29 2014-11-20
123 Moon, Jae Wook 文裁煜 AOU410 Rep 2007-07-23 2014-05-08
124 Mueller, John Andrew M AOX241 Rep 2007-05-29 2007-08-29
125 Muldoon, James Patrick (SFC:AOX234) M AOX234 Rep 2007-05-29 2009-12-15
126 Murphy, Hamish Scott M AOX244 Rep 2007-05-23 2012-10-24
127 Myers, Kevin Mitchell M ALB239 Rep 2004-08-04 2010-05-14
128 Namdar, David M APD844 Rep 2007-07-03 2009-04-30
129 Ng, Chun Wai (SFC:AMF277) 吳俊威 AMF277 Rep 2007-06-07 2009-07-10
130 Ng, Eric Peter 吳君豪 M ARO920 Rep 2008-09-12 2012-12-22
131 Ng, Kenneth Chi Keung 吳志強 M AJM684 Rep 2004-02-25 2005-03-09
132 Ng, Kwong Man 吳光民 AME704 Rep 2005-07-04 2008-03-15
133 Ng, Wai Kwong (SFC:ADJ383) 吳衛剛 ADJ383 Rep 2006-10-02 2008-04-17
134 Ning, Feng Tao AQX333 Rep 2008-05-05 2009-05-02
Rep 2009-07-30 2012-03-17
135 Novak, Alexander Stanley M ATI171 Rep 2009-07-20 2019-01-28
136 Ogawa, Masaki AGS861 Rep 2009-07-15 2014-04-22
137 Pabari, Shrikesh Dilip AQY822 Rep 2008-05-02 2018-08-15
138 Pang, Kenneth Kwok Kit 彭國傑 M AEO731 Rep 2003-06-11 2009-04-08
139 Park, Min AFA670 RO 2004-07-29 2009-04-15
140 Pattaphongse, Patipat ACK851 Rep 2008-09-23 2018-05-31
141 Patterson, Richard John M AFK071 Rep 2009-10-08 2013-05-28
142 Periakaruppan, Chidambaram AQS367 Rep 2008-03-26 2010-04-20
143 Perrett, David Michael (SFC:AFF191) M AFF191 Rep 2004-11-23 2009-03-26
Rep 2009-12-24 2012-03-28
144 Pitts, Greenfield Spenceley ANM515 Rep 2006-06-07 2007-02-01
145 Quah, Chiang Ming (SFC:AER425) 柯江明 AER425 Rep 2008-06-05 2017-07-15
146 Rabinowitz, David M AHW502 Rep 2005-11-04 2021-04-09
147 Rada Soto, Maria F ANG175 Rep 2006-03-27 2007-03-27
148 Redbourn, Paul Robert (SFC:AFQ906) M AFQ906 Rep 2003-05-14 2015-01-28
149 Robertson, Simon Montague M AGI097 Rep 2008-06-05 2010-04-09
150 Rogers, David Andrew (SFC:ATM320) M ATM320 Rep 2009-08-04 2010-06-03
151 Ruangrit, Kraingkrai ATI757 Rep 2009-07-22 2016-05-24
152 Sanchez, Marlon Mikhail M ADJ822 Rep 2004-11-26 2006-05-16
153 Sasao, Hiroshi M AMI544 Rep 2006-02-10 2008-08-08
154 Saxvik, Eric Bradley M ACR775 Rep 2005-03-31 2012-04-13
155 Sen, Arnab (SFC:AMF183) AMF183 Rep 2005-07-15 2006-07-18
156 Shah, Sheryl AQV658 Rep 2008-04-21 2011-04-05
157 Shalabi, Hani Youssef AMU521 Rep 2006-05-08 2008-03-21
158 Shen, Allan Hung Yat 沈鴻逸 M AIC834 Rep 2006-10-02 2007-06-30
159 Sheren, Peter Jay M AKS922 Rep 2005-03-31 2005-06-15
160 Sinegubko, Boris M AUE781 Rep 2009-11-27 2012-06-30
161 So, Ferdinand 蘇平恩 AFO880 Rep 2004-03-26 2007-07-17
162 So, Nelson Shing Hing 蘇盛興 M ACH779 Rep 2006-10-02 2008-04-17
163 Soo, Phaik Lin AMH268 Rep 2005-08-01 2007-09-29
164 Stead, David Andrew (SFC:AQT298) M AQT298 Rep 2008-04-07 2013-06-29
165 Stephens, Clifford Peter M ANI824 Rep 2006-05-10 2009-04-27
166 Sturman, Jonathan Marc M ALU446 Rep 2005-03-10 2006-06-22
167 Subramaniam, Mohan (SFC:ADD198) ADD198 Rep 2006-10-02 2008-11-06
168 Suen, Benny Hung Kit 孫雄傑 M AIB797 Rep 2009-04-22
169 Sui, Voon Keat Kenneth 許文杰 APG897 Rep 2007-07-16
170 Sum, Hing Man 岑慶文 ABW145 Rep 2014-04-11
171 Sun, Yiqian (SFC:ATV809) 孫逸潜 ATV809 Rep 2009-10-05 2011-04-13
172 Sung, Richard Kin Man 宋建文 38 M ADI852 Rep 2009-02-03 2009-10-31
173 Sung, Yoon Kyu AKU991 Rep 2004-06-15 2020-09-07
174 Takeuchi, Shuntaro AOX246 Rep 2007-05-23 2014-11-20
175 Tan, Eric Ming Fung 鄧銘峰 M AJI346 Rep 2009-08-10 2019-07-03
176 Tan, Freddie Kuok Lin ASQ162 Rep 2009-03-27 2019-11-01
177 Tan, Lien Seng AFK584 Rep 2003-05-06 2005-03-21
178 Tan, Snowy Sze Ling 陳施霖 AFD553 Rep 2004-08-09 2005-06-02
179 Tan, Yew Boon 陳友文 AFS647 Rep 2003-05-28 2004-05-04
180 Tang, Ian Kenneth 鄧正行 M ANR644 Rep 2006-07-24 2008-10-23
181 Tang, Ming Wai (SFC:AIH670) 鄧明緯 AIH670 Rep 2005-04-07 2009-04-06
182 Taniguchi, Chigusa AOM785 Rep 2007-01-29 2008-01-07
183 Thomson, Paul Richard M ANU165 Rep 2006-09-04 2006-12-03
184 Tropper, Giselle Natalia AUA249 Rep 2009-11-02 2017-05-22
185 Tse, Kenyon King-yung 謝敬勇 AMF472 Rep 2006-02-20
186 Vinais, Pascal Thierry Jean-Marie ACZ236 Rep 2006-02-27 2008-06-21
187 Vine, Carl David (SFC:AFY718) M AFY718 Rep 2004-04-26 2005-07-05
Rep 2006-02-09 2008-08-08
188 Walkom, Adam Glen M ANQ987 Rep 2007-07-09 2007-08-09
189 Wan, Yew Chye 范有財 ADF140 Rep 2006-10-02 2012-02-07
190 Wang, Xiaolei (SFC:APP106) 王小磊 F APP106 Rep 2007-09-21 2009-08-15
191 Watanabe, Nagisa AOX250 Rep 2007-05-23 2008-06-30
192 Wheeler, Daniel Raymond M AHP526 Rep 2007-05-29 2007-06-23
193 Wong, Donald Ho Lun 黃浩麟 M APH272 Rep 2007-07-19 2021-07-19
194 Wong, Po Chin 黃步前 ALY361 Rep 2008-06-05 2008-07-04
195 Wong, Schenken 黃尚勤 AQS494 Rep 2008-03-28 2010-03-15
196 Wong, Stephen (SFC:AJO207) 黃錦豪 M AJO207 Rep 2004-03-19 2008-04-30
197 Woo, Yik Yuen 胡翊遠 AND666 Rep 2007-06-20
198 Woodland, Emily Jane F AJE851 Rep 2003-10-14 2012-03-19
199 Woodward, Anthony James Passingham M ACS226 Rep 2008-09-23 2022-05-31
200 Wu, Shanshan / Sarah 伍珊珊 ATQ890 Rep 2009-09-07 2012-05-05
201 Wyshynski, Jeffrey D M AOX253 Rep 2007-05-23 2008-09-19
202 Xiang, Jisong 項吉松 ALP923 Rep 2005-01-06 2006-11-04
203 Yamahara, Yasuhiro AOX204 Rep 2007-05-29 2008-10-21
204 Yamashita, Osamu AOY778 Rep 2007-06-05 2010-11-10
205 Yan, Ka Yee Connie 甄家怡 ALF375 Rep 2008-06-05 2010-04-16
206 Ye, Xiaofei 葉曉菲 ANW404 Rep 2008-05-27 2008-10-28
207 Yeoh, Choo Guan 楊紫源 ANR771 Rep 2007-02-02 2020-04-23
208 Yip, Shuk Ling 葉淑玲 AEA526 Rep 2003-05-06 2009-12-03
209 Yoda, Aki 依田亞希 AMH137 Rep 2008-05-27 2008-12-30
210 Yokosuka, Sayaka ATR827 Rep 2009-09-16 2013-05-18
211 Yoo, Ji Eun ALF651 Rep 2004-09-13 2012-03-22
212 Yoon, Chi Won ACN181 Rep 2003-09-15
RO 2003-09-15 2005-06-09
Rep 2005-06-09 2016-07-25
213 Yu, Jason Wah Chiu 余華超 M AAD859 Rep 2005-05-04 2011-06-30
214 Yu, Johnny Ching Yan 于正人 M AKO779 Rep 2004-05-05 2017-11-11
215 Yun, Heekyu ATJ399 Rep 2009-07-22 2010-03-07
216 Zalaket, Michael J M AUH396 Rep 2009-12-08 2010-01-19
217 Zhang, Ning (SFC:AGD246) 張宁 41 M AGD246 Rep 2003-06-03 2004-03-11
218 Zhang, Shao Ying 張少英 AQE595 Rep 2007-12-21 2009-07-10
219 Zhu, Jinji 朱勁吉 ARG203 Rep 2008-07-02 2009-04-28
220 Zhu, Liping (SFC:ANT815) 朱力平 ANT815 Rep 2008-02-25 2013-04-06

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