UBS SECURITIES HONG KONG LIMITED
SFC licensees
RO=Responsible Officer, Rep=Representative
| Name | Age in 2011 |
⚥ | Role | From | Until | |
|---|---|---|---|---|---|---|
| 1 | Advani, Neil L | M | Rep | 2011-07-12 | 2012-02-08 | |
| 2 | Agarwal, Anand (SFC:ASL813) | Rep | 2009-02-25 | 2015-03-10 | ||
| 3 | Agarwal, Yash | Rep | 2010-02-01 | 2016-07-05 | ||
| 4 | Aird, William Rowley | M | Rep | 2011-03-09 | 2013-11-02 | |
| 5 | Arora, Dhruv (SFC:ARG980) | Rep | 2008-07-04 | 2015-04-30 | ||
| 6 | Atkinson, James Anthony Thomas | M | Rep | 2010-05-25 | 2014-04-29 | |
| 7 | Au, Alexander Pak Cheung 區柏祥 | 35 | M | Rep | 2004-05-18 | 2008-03-11 |
| 8 | Bansal, Navneet Kumar | M | Rep | 2009-05-27 | 2010-03-25 | |
| 9 | Beshke, Clarence John | M | RO | 2010-03-18 | ||
| Rep | 2010-03-18 | 2013-11-16 | ||||
| 10 | Bessent, Marcel Peter | 41 | M | Rep | 2010-09-02 | 2010-11-20 |
| 11 | Best, David Gareth | M | Rep | 2011-03-22 | 2011-04-15 | |
| 12 | Bhumiratana, Master Sanu | Rep | 2007-01-12 | 2016-12-18 | ||
| 13 | Blackburn, Andrew James (SFC:AJE473) | M | Rep | 2003-09-29 | 2003-12-10 | |
| 14 | Blanchard, Scott Allen | M | Rep | 2011-06-20 | 2016-12-18 | |
| 15 | Bradshaw, John (SFC:AHC328) | M | RO | 2005-04-27 | 2006-01-06 | |
| Rep | 2006-01-06 | 2012-03-29 | ||||
| 16 | Cai, Zhibin (SFC:AYC190) 蔡志斌 | Rep | 2011-10-03 | 2016-12-18 | ||
| 17 | Chan, Andrea Wai Ming 陳慧明 | F | Rep | 2006-12-14 | 2007-04-14 | |
| 18 | Chan, Andy Kok Heng | RO | 2005-12-29 | 2011-02-16 | ||
| 19 | Chan, Brian Hon Kei 陳漢基 | M | Rep | 2004-04-15 | 2009-04-22 | |
| 20 | Chan, Shing Kit 陳勝傑 | Rep | 2011-05-16 | 2012-02-22 | ||
| 21 | Chan, Wei Hsien | Rep | 2010-12-06 | 2012-03-01 | ||
| 22 | Chandler, Benjamin Victor Michael | M | Rep | 2011-06-29 | 2012-05-24 | |
| 23 | Chao, Benjamin Sze Chung 趙思聰 | M | Rep | 2004-06-25 | 2006-10-04 | |
| 24 | Chau, Kwok Wai (SFC:ATN585) 周國威 | Rep | 2009-08-11 | 2016-12-18 | ||
| 25 | Chaudhry, Mateen | Rep | 2007-07-11 | 2008-05-10 | ||
| 26 | Chen, Lijuan (SFC:AVL498) 陳利娟 | Rep | 2011-10-04 | 2016-12-18 | ||
| 27 | Cheng, Anthony Roger 陳若嘉 | M | Rep | 2011-04-06 | 2016-12-18 | |
| 28 | Cheng, Jimmy Min Tat 鄭勉達 | M | RO | 2007-04-28 | ||
| 29 | Cheuk, So Wah 卓素華 | Rep | 2008-05-23 | 2016-12-18 | ||
| 30 | Chiu, Winnie Mo Sze 趙慕詩 | F | Rep | 2009-09-28 | 2010-11-09 | |
| RO | 2010-11-09 | 2012-11-10 | ||||
| 31 | Choi, Iris Heung Kam 蔡香琴 | F | Rep | 2011-10-17 | 2015-11-18 | |
| 32 | Chu, Peter | M | Rep | 2004-08-06 | 2007-02-23 | |
| 33 | Chu, Tianli 楚天驪 | Rep | 2010-09-27 | 2013-04-03 | ||
| 34 | Coffeng, John Martinus (SFC:ADJ820) | M | RO | 2010-03-04 | 2010-09-06 | |
| 35 | Combalot, Laurent Benoit Georges | M | RO | 2009-05-06 | 2016-12-18 | |
| 36 | Conley, Richard Adrian | M | Rep | 2011-11-11 | 2016-12-18 | |
| 37 | Cordonnier, Maxime Nicolas Bruno | M | Rep | 2011-09-19 | 2013-04-18 | |
| 38 | Craig-Wood, Christopher John | M | Rep | 2010-07-27 | 2011-01-11 | |
| RO | 2011-01-11 | 2016-03-15 | ||||
| 39 | Currey, Stuart Dalyn | M | Rep | 2011-09-12 | 2016-12-18 | |
| 40 | Davis, Christopher Edward | M | Rep | 2011-10-21 | 2016-12-18 | |
| 41 | Delterme, Antoine Pierre Marie | M | Rep | 2010-07-26 | 2011-03-15 | |
| 42 | Donan, Keith | M | Rep | 2011-05-19 | 2016-12-18 | |
| 43 | Donovan, James William (SFC:ARA301) | M | Rep | 2008-05-09 | 2014-05-13 | |
| 44 | Dormer, Mark Christopher (SFC:AVI169) | M | Rep | 2010-06-15 | 2011-08-17 | |
| 45 | Faulkner, William (SFC:AXH731) | M | Rep | 2011-06-14 | 2013-11-13 | |
| 46 | Faure, Olivier Pierre | M | Rep | 2011-05-11 | 2013-01-25 | |
| 47 | Flynn, Robert Michael | M | Rep | 2006-03-16 | 2006-05-11 | |
| RO | 2006-05-11 | 2008-04-08 | ||||
| Rep | 2008-04-08 | 2008-06-14 | ||||
| 48 | Fok, Ronald King Man 霍敬文 | 34 | M | Rep | 2016-12-18 | |
| 49 | Fong, Belinda Mun Yee 方敏怡 | F | Rep | 2007-01-12 | 2009-06-13 | |
| 50 | Galea, Ronald Francis | M | Rep | 2009-12-14 | 2010-03-22 | |
| 51 | Gencarelli, Franco Joseph | M | Rep | 2006-10-09 | 2011-12-31 | |
| 52 | Goraieb, Amine | Rep | 2011-03-28 | 2013-05-25 | ||
| 53 | Groves, James Andrew (SFC:AYD299) | M | Rep | 2011-09-30 | 2014-11-20 | |
| 54 | Gupta, Puneet (SFC:AXF254) | Rep | 2011-05-03 | 2014-06-14 | ||
| 55 | Gupta, Shivam (SFC:APC574) | Rep | 2009-08-10 | 2011-04-02 | ||
| 56 | Guy, Stephane Edouard Andre | M | Rep | 2011-05-05 | 2012-10-25 | |
| 57 | Han, Chia Lei 韓嘉蕾 | Rep | 2010-03-19 | 2016-12-18 | ||
| 58 | Hansen-Luke, Rosemary Eva | F | Rep | 2006-12-14 | 2008-05-17 | |
| 59 | Hayek, Rami Gebran | Rep | 2011-02-14 | 2012-09-01 | ||
| 60 | Ho-Hio-Hen, Christelle Nga Sok | Rep | 2010-08-09 | 2011-09-01 | ||
| 61 | Ho, Alan To 何鍍 | M | Rep | 2004-03-12 | ||
| 62 | Ho, Diana Pui Kwan 何佩君 | F | Rep | 2011-10-18 | ||
| 63 | Ho, Kwok Chung (SFC:AAB905) 何國仲 | Rep | 2008-05-07 | |||
| 64 | Ho, Tsz Leung 何子樑 | Rep | 2003-09-02 | 2016-12-18 | ||
| 65 | Holiday, Edward Richard | M | Rep | 2009-08-10 | 2016-12-18 | |
| 66 | Holmewood, Philip James | M | Rep | 2010-11-01 | 2014-03-14 | |
| 67 | Hong, Shaw-Shiun 洪紹勛 | Rep | 2004-08-20 | 2009-04-22 | ||
| 68 | Hsu, Karen Chia Lin 徐嘉琳 | F | Rep | 2004-02-23 | ||
| 69 | Hunt, Ross Anthony | M | Rep | 2011-11-24 | 2013-05-03 | |
| 70 | Innerdale, David James | M | RO | 2011-06-23 | 2016-12-18 | |
| 71 | Jonker, Hendrik (SFC:AXB227) | Rep | 2011-03-22 | 2011-06-01 | ||
| 72 | Joseph Pulpel, Savio | M | Rep | 2011-05-03 | 2016-12-18 | |
| 73 | Kansal, Mohit (SFC:ATX900) | Rep | 2009-10-21 | 2012-03-31 | ||
| 74 | Kerridge, Hugh Copeland | M | Rep | 2011-01-18 | 2015-10-14 | |
| 75 | Khosla, Navjeewan Jatinder | Rep | 2010-04-15 | 2012-03-19 | ||
| 76 | Kim, Jung Ho | Rep | 2009-03-05 | 2013-07-13 | ||
| 77 | Kim, Susan Eun | F | Rep | 2006-12-14 | 2008-05-07 | |
| 78 | Kuo, Marc 郭常青 | M | Rep | 2010-03-30 | 2011-01-20 | |
| 79 | Kushal, Avanish Mira | Rep | 2007-07-04 | 2009-08-15 | ||
| 80 | Kwan, Sing Yuen 關承遠 | Rep | 2016-12-18 | |||
| 81 | Kwong, Myron Mann 鄺孟恆 | Rep | 2006-12-14 | 2016-12-18 | ||
| 82 | Lai, Johnson Kai Tsun 黎啟進 | M | Rep | 2008-07-02 | 2009-07-10 | |
| 83 | Lai, Wing Yi 黎詠儀 | Rep | 2003-05-30 | |||
| 84 | Lam, Eric Christopher | M | Rep | 2007-11-26 | 2008-02-24 | |
| Rep | 2008-02-28 | 2008-12-18 | ||||
| 85 | Lam, Hu Yang 林曉陽 | Rep | 2006-09-16 | |||
| 86 | Lam, Ka Lai (SFC:AUT719) 林嘉麗 | Rep | 2010-03-01 | 2016-12-18 | ||
| 87 | Lange, Steven Benjamin | M | Rep | 2011-04-21 | 2011-05-12 | |
| 88 | Langner, Gilbert Fred | M | Rep | 2010-10-14 | 2012-10-25 | |
| 89 | Lau, Marcus Chi Chiu 劉志超 | M | Rep | 2006-06-08 | ||
| 90 | Law, Ka Fai (SFC:APH953) 羅家輝 | Rep | 2011-04-13 | 2013-02-01 | ||
| 91 | Law, Wendy Wing Chi 羅穎芝 | F | Rep | 2005-06-13 | ||
| 92 | Lee, Gregory Joseph | M | Rep | 2007-06-28 | 2009-04-24 | |
| 93 | Lee, Hyun Jae (SFC:AHN694) 李賢宰 | Rep | 2007-04-19 | |||
| Rep | 2010-09-27 | 2016-06-11 | ||||
| 94 | Lee, Jason Kwan Ho 李君豪 | M | Rep | 2011-03-07 | 2012-03-19 | |
| 95 | Lee, Karen King Wai 李荊慧 | F | Rep | 2010-05-20 | 2016-12-18 | |
| 96 | Lee, Samuel Man Fat 李萬發 | 42 | M | Rep | 2004-12-03 | 2009-09-05 |
| 97 | Lee, Simon Chun Kit 李俊傑 | 35 | M | Rep | 2009-04-22 | |
| 98 | Lee, Yik Long 李奕朗 | Rep | 2008-07-04 | 2009-07-18 | ||
| 99 | Lei, Baoxi 雷宝溪 | Rep | 2007-11-23 | 2012-03-27 | ||
| 100 | Lent, Nicholas Alexander | M | Rep | 2007-06-14 | 2011-06-28 | |
| 101 | Leung, Andrew Jason | M | Rep | 2008-04-15 | 2008-05-15 | |
| 102 | Leung, Nancy Ann 梁學安 | F | Rep | 2006-09-04 | 2007-08-04 | |
| 103 | Leung, Wing Yan (SFC:AUW488) 梁穎恩 | Rep | 2010-03-12 | 2014-07-22 | ||
| 104 | Li, Anita Oi Yan 李靄欣 | F | Rep | 2008-08-20 | 2016-03-16 | |
| 105 | Li, Chun Wai (SFC:AOL205) 李俊蔚 | Rep | 2009-08-28 | 2016-06-21 | ||
| 106 | Li, Haoyi (SFC:ASF604) 李豪翼 | Rep | 2009-01-09 | 2009-11-24 | ||
| 107 | Li, Jing (SFC:AOV618) 李菁 | Rep | 2007-05-08 | 2012-12-22 | ||
| 108 | Li, Man Wing 李文穎 | Rep | 2005-05-24 | 2014-10-01 | ||
| 109 | Li, Mavis Qiwen 李綺雯 | F | Rep | 2006-12-14 | 2016-12-18 | |
| 110 | Lim, Shao Jun | Rep | 2010-07-12 | 2012-03-08 | ||
| 111 | Liu, Ning (SFC:ASZ222) 劉寧 | Rep | 2009-05-25 | 2016-12-18 | ||
| 112 | Lock, Timothy James | M | Rep | 2011-07-18 | 2016-12-18 | |
| 113 | Lu, Hao Feng 呂豪鋒 | Rep | 2009-05-27 | 2012-11-15 | ||
| 114 | Lu, Shun Chang 呂須章 | Rep | 2009-03-13 | 2009-03-20 | ||
| 115 | Maguire, Raymond | M | Rep | 2006-09-29 | 2008-10-18 | |
| 116 | Man, Kam Chiu 文錦超 | Rep | 2006-10-02 | 2008-04-17 | ||
| 117 | McCormick, Neil John | M | Rep | 2009-11-11 | 2010-06-21 | |
| 118 | McMakin, Benjamin Reese III | M | Rep | 2010-02-17 | 2010-03-17 | |
| 119 | McQueen, Lee Michael | M | Rep | 2004-01-09 | ||
| RO | 2004-01-09 | 2005-05-10 | ||||
| Rep | 2005-05-10 | 2009-04-04 | ||||
| 120 | Melwani, Rajesh Ramesh (SFC:AEU252) | M | Rep | 2010-01-26 | ||
| 121 | Mohla, Abhishek Dushyant | M | Rep | 2010-03-26 | 2016-12-18 | |
| 122 | Mok, Hoi Chung 莫海忠 | Rep | 2010-03-02 | 2011-05-03 | ||
| 123 | Mok, Kwan Ho (SFC:AXS235) 莫君豪 | Rep | 2011-07-29 | 2011-09-09 | ||
| 124 | Moon, Jae Wook 文裁煜 | Rep | 2009-05-27 | 2014-05-08 | ||
| 125 | Motwani, Natasha Murli | F | Rep | 2010-02-09 | 2016-12-18 | |
| 126 | Myers, Kevin Mitchell | M | Rep | 2006-12-14 | 2009-03-10 | |
| RO | 2009-03-10 | 2010-05-14 | ||||
| 127 | Namdar, David | M | Rep | 2007-07-03 | 2009-04-30 | |
| 128 | Nelson, Ryan Wesley (SFC:AQX958) | M | Rep | 2011-09-30 | 2016-05-20 | |
| 129 | Ng, Chun Wai (SFC:AMF277) 吳俊威 | Rep | 2007-06-07 | 2009-07-10 | ||
| 130 | Ng, Eric Peter 吳君豪 | M | Rep | 2008-09-12 | 2012-12-22 | |
| 131 | Ng, Kai Yan 吳啟仁 | Rep | 2012-10-25 | |||
| 132 | Ng, Kwong Man 吳光民 | Rep | 2005-07-04 | 2008-03-15 | ||
| 133 | Ng, Wai Kwong (SFC:ADJ383) 吳衛剛 | Rep | 2006-10-02 | 2008-04-17 | ||
| 134 | Ning, Feng Tao | Rep | 2009-07-30 | 2012-03-17 | ||
| 135 | Novak, Alexander Stanley | M | Rep | 2009-07-20 | 2016-12-18 | |
| 136 | O'Meara, Christopher James Sidney | M | Rep | 2010-07-06 | 2010-10-27 | |
| RO | 2010-10-27 | 2014-04-10 | ||||
| 137 | Pabari, Shrikesh Dilip | Rep | 2008-05-02 | 2016-12-18 | ||
| 138 | Patterson, Richard John | M | Rep | 2009-10-08 | 2010-11-11 | |
| RO | 2010-11-11 | 2013-05-28 | ||||
| 139 | Poon, Ming Pui 潘明培 | M | RO | 2005-03-30 | ||
| Rep | 2005-03-30 | 2005-09-03 | ||||
| 140 | Rabinowitz, David | M | Rep | 2006-12-14 | 2010-06-28 | |
| RO | 2010-06-28 | 2016-12-18 | ||||
| 141 | Redbourn, Paul Robert (SFC:AFQ906) | M | RO | 2006-03-10 | 2014-06-11 | |
| 142 | Rogers, David Andrew (SFC:ATM320) | M | Rep | 2009-08-04 | 2010-06-03 | |
| 143 | Royal, Andrew John | M | Rep | 2011-07-12 | 2016-06-18 | |
| 144 | Saunders, Scott Antony | M | RO | 2005-10-27 | ||
| 145 | Saxvik, Eric Bradley | M | Rep | 2005-03-07 | ||
| RO | 2006-06-20 | 2008-08-12 | ||||
| Rep | 2008-08-12 | 2012-04-13 | ||||
| 146 | Shalabi, Hani Youssef | Rep | 2006-12-14 | 2008-03-21 | ||
| 147 | Shen, Allan Hung Yat 沈鴻逸 | M | Rep | 2006-10-02 | 2007-06-30 | |
| 148 | Shivalingam, Sanjeevan | M | Rep | 2009-09-07 | 2013-08-22 | |
| 149 | Sillam, Jonathan Charles Marc | M | Rep | 2010-02-09 | 2014-04-11 | |
| 150 | Singh, Navita | Rep | 2010-10-08 | 2013-12-03 | ||
| 151 | Slaoui, Mohammed Saad | M | Rep | 2011-09-20 | 2016-12-18 | |
| 152 | So, Nelson Shing Hing 蘇盛興 | M | Rep | 2006-10-02 | 2008-04-17 | |
| 153 | Spielhofer, Philippe Marc | M | Rep | 2011-05-17 | 2015-09-01 | |
| 154 | Stead, David Andrew (SFC:AQT298) | M | Rep | 2010-07-28 | 2013-06-29 | |
| 155 | Suen, Kin Dick 孫堅迪 | Rep | 2010-07-13 | 2016-12-18 | ||
| 156 | Sui, Voon Keat Kenneth 許文杰 | Rep | 2007-07-16 | 2016-12-18 | ||
| 157 | Sum, Hing Man 岑慶文 | Rep | 2014-04-11 | |||
| 158 | Sun, Yiqian (SFC:ATV809) 孫逸潜 | Rep | 2009-10-05 | 2011-04-13 | ||
| 159 | Tan, Eric Ming Fung 鄧銘峰 | M | Rep | 2009-08-03 | 2016-12-18 | |
| 160 | Tan, Freddie Kuok Lin | Rep | 2009-06-01 | 2016-12-18 | ||
| 161 | Tang, Ian Kenneth 鄧正行 | M | Rep | 2006-12-14 | 2008-10-23 | |
| 162 | Tang, Ming Wai (SFC:AIH670) 鄧明緯 | Rep | 2005-04-07 | 2009-04-06 | ||
| 163 | Tang, Minyi 唐敏毅 | Rep | 2011-01-28 | 2015-04-15 | ||
| 164 | Thomas, Rebecca Judith | F | Rep | 2008-12-19 | 2016-07-28 | |
| 165 | Tomlin, Owen | M | Rep | 2006-12-14 | 2007-05-28 | |
| 166 | Tong, David Doe-hung 湯道鴻 | M | Rep | 2011-05-19 | 2016-12-18 | |
| 167 | Tropper, Giselle Natalia | Rep | 2009-11-02 | 2016-12-18 | ||
| 168 | Tse, Jaff Ka Wai 謝家威 | Rep | 2003-04-10 | |||
| 169 | Tse, Kenyon King-yung 謝敬勇 | Rep | 2006-12-14 | 2016-12-18 | ||
| 170 | Vijayarajan, Prithvi Raj | Rep | 2011-03-29 | 2011-07-06 | ||
| 171 | Wan, Xing (SFC:AXQ294) 万星 | Rep | 2011-08-03 | 2016-12-18 | ||
| 172 | Wan, Yew Chye 范有財 | Rep | 2006-10-02 | 2012-02-06 | ||
| 173 | Wang, Jiaqi (SFC:AOH836) 王家琦 | Rep | 2006-12-18 | 2016-12-18 | ||
| 174 | Wang, Xiaolei (SFC:APP106) 王小磊 | F | Rep | 2008-04-10 | 2009-08-15 | |
| 175 | Werrmann, Alf | Rep | 2011-01-31 | 2012-10-25 | ||
| 176 | White, Thomas James Durell | 33 | M | Rep | 2011-04-21 | 2011-05-12 |
| 177 | Willis, Vernon Russell | M | Rep | 2011-11-25 | 2016-04-08 | |
| 178 | Wong, Chun (SFC:ATS895) 黃駿 | Rep | 2010-08-30 | 2013-03-23 | ||
| 179 | Wong, Donald Ho Lun 黃浩麟 | M | Rep | 2007-07-19 | 2016-12-18 | |
| 180 | Wong, Ronald Kwok Kit 黃國傑 | M | Rep | 2003-06-18 | ||
| 181 | Wong, Schenken 黃尚勤 | Rep | 2008-03-28 | 2010-03-15 | ||
| 182 | Wong, Stephen (SFC:AJO207) 黃錦豪 | M | Rep | 2004-03-19 | 2008-04-30 | |
| 183 | Woo, Yik Yuen 胡翊遠 | Rep | 2007-06-20 | 2015-08-07 | ||
| 184 | Wu, Bun Lerd Bernard 胡斌畧 | Rep | 2010-10-05 | 2016-12-18 | ||
| 185 | Wu, Shanshan / Sarah 伍珊珊 | Rep | 2009-09-07 | 2012-05-05 | ||
| 186 | Xia, Yang (SFC:ALN489) 夏阳 | Rep | 2007-05-18 | 2010-11-11 | ||
| RO | 2010-11-11 | 2013-04-18 | ||||
| 187 | Xiang, Pinggui 向平貴 | Rep | 2007-01-08 | 2007-10-19 | ||
| 188 | Yen, Anna 嚴立恬 | F | Rep | 2010-06-28 | 2013-01-23 | |
| 189 | Yeoh, Choo Guan 楊紫源 | Rep | 2007-02-02 | 2007-06-15 | ||
| RO | 2007-06-15 | 2010-02-03 | ||||
| Rep | 2010-02-03 | 2016-12-18 | ||||
| 190 | Yu, Jason Wah Chiu 余華超 | M | RO | 2005-03-24 | ||
| Rep | 2005-03-24 | 2011-06-30 | ||||
| 191 | Yu, Johnny Ching Yan 于正人 | M | Rep | 2006-10-18 | 2016-12-18 | |
| 192 | Yun, Heekyu | Rep | 2009-07-22 | 2010-03-07 | ||
| Rep | 2011-07-21 | 2016-12-18 | ||||
| 193 | Zalaket, Michael J | M | Rep | 2009-12-08 | 2010-01-19 | |
| 194 | Zhang, Charles 張大兆 | M | Rep | 2011-01-24 | 2016-12-18 | |
| 195 | Zhang, Shao Ying 張少英 | Rep | 2007-12-21 | 2009-07-10 | ||
| 196 | Zhu, Jinji 朱勁吉 | Rep | 2008-07-02 | 2009-04-28 | ||
| 197 | Zhu, Liping (SFC:ANT815) 朱力平 | Rep | 2010-07-28 | 2013-04-06 |
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