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
2023
Role From Until
1 Abe, Hiromi Rep 2011-12-19 2012-09-28
2 Abe, Takahiro 阿部考浩 Rep 2011-08-01 2012-03-31
3 An, Sang Beom Rep 2020-07-06 2021-08-09
4 Anada, Takashi 穴田孝史 Rep 2012-11-21 2013-10-07
5 Arya, Parth Rep 2017-12-13 2021-03-03
6 Bainbridge, James William (SFC:BAV890) M Rep 2017-10-24 2017-11-23
7 Berrisford, Carl Thomas M Rep 2004-03-16 2004-05-04
8 Bhagavath, Sunil Sudhakar Rep 2014-07-07 2020-01-15
9 Carlone, Thomas M Rep 2022-06-06
10 Carrigan, Nicholas M Rep 2014-06-20 2018-08-31
11 Cha, Louis Min 車珉 M Rep 2022-04-19
12 Chan, Chi Leong 陳智亮 76 M RO 2006-05-08 2010-10-19
13 Chan, Ching Han (SFC:BGU411) 陳靜嫻 Rep 2016-01-12
14 Chan, Dennis Kwok Fung 陳國峰 M Rep 2014-01-14 2020-11-16
RO 2020-11-16 2022-04-08
15 Chan, Maureen Wai Ling 陳慧玲 F Rep 2004-04-27 2011-03-18
16 Chan, Samuel Sek Wei 陳惜偉 M Rep 2021-04-28 2024-02-27
17 Chan, Soo Sum 陳素心 Rep 2011-01-13 2013-09-27
18 Chan, Wai Lung (SFC:AAC760) 陳偉隆 Rep 2008-03-18
RO 2008-03-18 2018-01-01
19 Chan, Ying Tung 陳映彤 Rep 2021-01-25 2023-09-15
20 Chang, Ioi Tim 曾銳添 Rep 2014-10-06 2015-02-04
RO 2015-02-04 2018-07-20
21 Chau, Chi Han 周智嫻 F Rep 2022-11-23
22 Chen, Wei (SFC:BRO909) 陳維 Rep 2021-08-13 2021-11-30
23 Chen, Yanjie 陳燕杰 Rep 2019-11-28 2023-12-06
24 Chen, Yu-Lun 陳昱綸 Rep 2020-03-02 2022-01-03
25 Chen, Yuan (SFC:AEJ844) 陳遠 54 M Rep 2006-04-10 2006-04-21
26 Chen, Zechun (SFC:BSD662) 陳澤春 Rep 2022-01-24 2023-09-15
27 Cheng, Keith Teng Fong 鄭廷峰 M Rep 2011-05-09 2011-06-28
28 Cheon, Gene Young M Rep 2021-04-26 2023-12-29
29 Cheung, Frances 張淑嫻 F Rep 2003-07-30 2005-10-05
30 Cheung, Warren Yui Kai 張睿佳 56 M Rep 2011-04-08 2011-11-01
31 Cho, Taejung Rep 2017-08-16 2018-12-14
32 Choi, Anderson Chun Fat 蔡俊發 M Rep 2011-06-28 2017-12-22
RO 2017-12-22 2018-07-11
33 Chung, Hoh Rep 2015-08-17 2022-04-14
34 Chung, Ka Yin 鍾嘉彥 Rep 2013-05-10 2015-08-10
35 Chung, Thomas Yat Kit 鍾逸傑 M Rep 2018-05-28 2020-12-03
36 Colebatch, Michael John M Rep 2022-02-08
37 Cook, Geoffrey John M Rep 2017-01-26 2017-07-31
38 Fok, Allan Tse Hang 霍子恒 M Rep 2011-03-28 2012-07-20
RO 2012-07-20 2021-07-16
39 Foo, King Wah 符敬華 Rep 2004-06-30
40 Fu, Xiamin 符夏旻 Rep 2021-06-28 2023-11-01
41 Fukushima, Hiroyuki (SFC:BHD511) M Rep 2016-04-01 2016-06-22
RO 2016-06-22 2019-06-03
42 Furuta, Taketora 古田竹虎 Rep 2018-04-18 2020-11-16
RO 2020-11-16 2023-03-15
43 Guo, Zhen (SFC:BNZ011) 郭真 Rep 2018-12-31 2021-03-26
44 Hashimoto, Kazunari Rep 2013-12-18 2019-05-02
45 He, Haotian (SFC:BFN673) 何昊天 Rep 2021-07-07
46 Higashio, Aya 東尾彩 F Rep 2014-07-29 2016-08-05
47 Hill, Trevor Aaron M Rep 2014-06-20 2022-04-11
48 Hiraoka, Emiko Rep 2012-02-10 2016-09-23
49 Ho, Hiu Kwan 何曉筠 Rep 2014-08-18
50 Honda, Miwa 本田美和 Rep 2008-03-17 2022-05-30
51 Hong, Yancheng (SFC:AVS886) 洪研程 Rep 2021-03-09
52 Horii, Yuko 梅野優子 Rep 2011-12-19 2013-12-30
53 Horota, Tsuyoshi Rep 2015-05-06 2015-05-15
54 Huang, Chung-Yu Rep 2022-02-28
55 Huang, Ho Pin 黃禾蘋 Rep 2018-11-30 2021-12-21
56 Huang, Xinzhe 黃昕哲 Rep 2023-03-09
57 Ip, William Wai Lun 葉偉倫 67 M RO 2012-07-20 2020-10-30
58 Isotani, Kengo Rep 2012-07-04 2013-04-03
59 Iu, Janice Ho Yee 姚皓儀 F Rep 2022-05-18 2022-06-07
RO 2022-06-07
60 Ji, Pingzi 季屏子 Rep 2019-07-02 2021-10-15
61 Jung, Mohammad Abdullah Sahir Bin M Rep 2021-10-18 2021-10-28
RO 2021-10-28 2023-01-09
62 Kaetsu, Yuri 嘉悅友理 M Rep 2020-03-09
63 Kai-Olowu, Reika Aurora Rep 2022-02-08 2022-07-29
64 Kang, Seung Yeon 姜升延 Rep 2018-09-06 2019-09-26
65 Karanovic, Vladimir (SFC:BOB372) Rep 2019-01-24
66 Kato, Mayumi 加藤真由美 Rep 2012-07-18
67 Katsura, Ryosuke Rep 2020-03-16
68 Ke, Tak Lai 紀德禮 Rep 2018-11-02
69 Kiga, Masaki 木我雅貴 Rep 2021-05-03 2023-04-27
70 Kim, Joohyung 金胄亨 Rep 2019-07-15 2021-12-20
71 Kimura, Tomonobu 木村友信 Rep 2021-02-17 2022-08-30
72 Kinjo, Tomonori 金城知德 Rep 2022-06-17
73 Ko, Cheuk Ming 高卓銘 Rep 2021-08-06 2021-09-30
74 Ko, Hee Jae 高希在 Rep 2021-04-09
75 Kobayashi, Kaya 周宛嬋 Rep 2020-08-31
76 Kobayashi, Shin Rep 2012-06-28 2014-04-07
77 Koga, Akira 古賀彰 RO 2011-01-03 2013-03-30
78 Kondo, Katsuyoshi 近藤勝義 Rep 2020-01-13 2020-02-17
RO 2020-02-17 2022-05-04
79 Kudo, Kento 工藤憲人 Rep 2018-05-28 2020-03-28
80 Kwan, Chi Hong (SFC:AJB565) 關志康 Rep 2003-08-13 2004-04-08
81 Kwong, King Chun 鄺璟俊 Rep 2019-01-22 2019-09-11
82 Lai, Chi Ian 黎芷昕 Rep 2021-06-17
83 Lai, Chuk Man 賴祝文 Rep 2020-12-08 2021-06-05
84 Lai, Seng Long 黎星龍 Rep 2018-01-15 2018-07-17
85 Lam, Ka Wun Gary 林家垣 M Rep 2021-02-19
86 Lam, King Sau (SFC:BAI839) 林勁秀 Rep 2017-08-10 2021-11-30
87 Lam, May Mei Kam 林美金 F RO 2010-10-18
Rep 2010-10-18 2011-03-18
88 Lee, Guo Chun 李國俊 Rep 2023-01-18 2023-04-01
89 Lee, Jiin Yih 李謹亦 Rep 2005-11-04 2007-09-11
90 Leung, Chun Shing 梁俊成 Rep 2004-11-12 2007-09-15
91 Leung, Shu Tung 梁樹彤 Rep 2016-05-18 2017-12-28
92 Leung, Yuen Yi Kim 梁苑怡 Rep 2022-06-09
93 Li, Libby Sze Nga 李詩雅 F Rep 2022-05-25
94 Li, Zhenyu (SFC:AKN225) 李震宇 Rep 2017-11-06 2019-02-10
95 Lin, Ka Ho 連嘉豪 Rep 2005-12-29 2007-12-13
96 Liu, Shuang (SFC:AHO649) 劉爽 Rep 2006-12-01 2007-11-11
97 Lok, Colin Wai Hung 駱偉雄 M Rep 2014-02-13 2017-10-27
98 Long, Lydia Soong Leng F Rep 2018-03-06 2018-10-10
99 Louey, Cynthia Petrina 雷麗儀 F Rep 2007-05-30 2009-04-08
100 Lu, Ta-Wen 陸大文 RO 2008-09-19 2008-11-28
101 Lui, Andrew Kwan Ho 呂君皓 M Rep 2007-12-19 2008-10-17
102 Lui, June Yi Vivian 呂俊儀 F Rep 2018-09-19 2018-11-30
103 Man, Kon Sum 文幹森 Rep 2004-10-15 2005-07-08
104 Man, Sunny Ho Kit 文浩傑 Rep 2006-03-07 2006-10-20
105 Mao, Yiyi 毛禕禕 Rep 2018-12-31
106 Maruyama, Masashi RO 2011-01-03 2012-10-22
107 Masuda, Takeshi (SFC:BSG548) 增田武志 M Rep 2022-04-20 2022-04-28
RO 2022-04-28
108 Matsuo, Kai 松尾海 Rep 2019-07-04 2020-07-09
109 McGill, Ruarri Ronald M Rep 2020-01-02 2021-06-18
110 Mitsui, Akira Rep 2015-07-14 2019-11-26
111 Mizutani, Tatsumi 水谷竜美 RO 2017-11-16 2018-05-14
112 Mochizuki, Yuki 望月優樹 F Rep 2015-09-02 2021-06-01
113 Morii, Fumihide 守井文英 Rep 2011-07-21 2012-03-30
114 Naka, Kazuhito 那珂和人 Rep 2014-03-10 2014-07-25
RO 2014-07-25 2019-11-18
Rep 2020-08-14
115 Nakabachi, Aya F Rep 2018-07-03 2019-06-19
116 Nakamura, Masashi (SFC:BOZ448) 中村雅史 Rep 2019-11-26 2019-12-03
RO 2019-12-03 2022-08-03
117 Nakauchi, Kozue 仲內梢 Rep 2011-06-07 2011-09-06
118 Ng, Choi Lun 吳采倫 Rep 2011-07-05 2014-01-26
119 Ng, Kathy Ka Wai 伍家慧 F Rep 2018-05-02 2021-06-19
120 Ng, Pauline Po Yuen 吳溥潤 F Rep 2006-04-03 2008-05-30
121 Noguchi, Kenji RO 2012-07-20 2020-04-09
122 O'Boyle, Gerald Keith M Rep 2013-10-21 2014-12-03
123 Ohnuma, Kenta Rep 2014-07-18 2015-04-01
124 Okubo, Kaori 大久保佳織 Rep 2019-06-24 2023-05-10
125 Oon, Ai Li 溫愛莉 Rep 2019-12-03 2021-08-16
126 Peng, Yujing 彭育婧 Rep 2022-09-05
127 Pervez, Ahsan (SFC:AJO361) Rep 2015-06-01 2017-07-06
Rep 2018-03-01 2018-03-24
Rep 2018-06-07 2018-06-22
Rep 2019-06-06 2019-06-14
128 Pong, David Juyoung M Rep 2021-03-29 2022-04-29
RO 2022-04-29 2023-11-01
129 Qian, Chenhan 錢辰翰 Rep 2020-02-27 2022-03-30
130 Sakai, Michinari 坂井道成 Rep 2013-07-03 2014-04-07
131 Sakamoto, Minoru (SFC:BOL098) Rep 2019-06-14 2019-09-25
RO 2019-09-25 2022-05-05
Rep 2022-05-05 2022-05-13
132 Sampson, Machiko Rep 2011-04-26 2018-10-11
RO 2018-10-11
133 Sasagawa, Toshiya Rep 2022-04-04 2022-04-26
RO 2022-04-26 2022-09-08
134 Sato, Hiromi (SFC:ANS087) 佐藤弘美 RO 2007-01-18 2012-06-29
Rep 2020-05-19 2020-05-21
RO 2020-05-21
135 Shimamoto, Arisa 嶌本有紗 Rep 2015-11-16
136 Shino, Koa 藤崎小亞 Rep 2017-07-21 2021-05-14
137 Siu, Ruby Pui Kay 蕭珮琪 F Rep 2014-06-30 2014-10-24
RO 2014-10-24 2018-10-28
138 Song, Rong (SFC:BRD832) 宋嵘 Rep 2021-05-12 2021-06-08
RO 2021-06-08
139 Surenkok White, Inci Irmak Rep 2007-06-26 2007-07-30
140 Suzuki, Kiyoko 鈴木清子 Rep 2011-04-21 2020-04-15
141 Tada, Emiko Rep 2011-04-29 2019-06-13
142 Tai, Kit Han 戴潔嫻 Rep 2011-01-07 2014-08-25
143 Tam, Ming Yan (SFC:APL478) 譚銘忺 Rep 2014-12-12 2023-07-31
144 Tamura, Hitoshi 田村仁志 RO 2012-06-01 2016-06-30
145 Tang, Le Geng Rep 2022-08-08
146 Tang, Tsz Yan Janice 鄧子欣 Rep 2014-01-29 2019-02-10
147 Tang, Wai Hung (SFC:ADI418) 鄧偉雄 Rep 2015-09-15 2016-03-04
RO 2016-03-04 2021-03-01
148 Tateishi, Tsuyoshi 立石剛史 Rep 2011-06-28 2012-06-29
149 Tong, Leo 唐震宇 M RO 2021-01-27 2023-11-01
150 Truelove, Keith Alan M Rep 2016-02-23 2017-11-16
151 Tsang, Edmund Ka Kan 曾嘉勤 M Rep 2022-03-04 2023-01-09
152 Tse, Pui Yi (SFC:BNE636) 謝佩宜 Rep 2018-07-09 2021-06-18
153 Tsim, Hon Keung 詹漢強 Rep 2007-12-20 2008-12-05
154 Tsujii, Jun Rep 2022-07-19 2024-01-19
155 Tsutsumi, Kazumasa 堤一將 Rep 2012-10-29 2014-02-06
156 Tu, Chia-Le Carol F Rep 2007-06-20 2009-03-06
157 Ushijima, Shinsuke 牛島真丞 RO 2012-12-27 2014-03-26
158 Van Gulik, Robert Ken M Rep 2011-01-19 2015-08-31
159 Wang, Lei (SFC:BPW175) 王磊 Rep 2022-07-14 2023-11-01
160 Watanabe, Hiroharu 渡邊洋治 Rep 2020-04-01 2021-07-20
161 Wong, Benny Man San 黃文山 M Rep 2003-07-24 2004-02-17
162 Wong, Chin Hung (SFC:AYF489) 黃展鴻 Rep 2011-10-26 2012-12-21
163 Wong, Daren Wai Chow 王偉洲 M Rep 2019-01-15 2019-09-12
164 Wong, Kwan Ting 黃君婷 Rep 2014-11-17
165 Wong, Tsz Wa (SFC:BRV322) 黃梓華 Rep 2021-11-15
166 Wu, Tsz Yee 胡子宜 Rep 2006-12-04 2007-10-02
167 Wu, Yu Han 吳宇涵 Rep 2016-05-03 2016-05-13
168 Wyatt, Andrew William M Rep 2018-05-07 2019-05-24
169 Xiao, Xiruo 肖西若 Rep 2019-01-18 2021-01-12
170 Xu, Guang (SFC:BKC619) 徐光 Rep 2018-10-16 2019-09-25
171 Xu, Rui (SFC:AXK860) 徐睿 Rep 2011-06-16 2012-12-31
172 Yamagami, Shinichiro Rep 2018-01-15 2018-05-08
RO 2018-05-08 2020-06-12
173 Yamamoto, Hideki 山本秀樹 Rep 2011-07-08 2012-04-26
RO 2012-04-26 2019-07-05
174 Yang, Huai Wei 楊懷瑋 Rep 2021-07-19 2023-11-01
175 Yang, Lujia (SFC:BBU233) 楊路加 Rep 2021-02-17 2024-03-11
176 Yasuda, Tairyu 安田太龍 Rep 2011-08-01 2012-03-30
177 Yasui, Katsuhiko 安井克彥 RO 2018-06-12 2020-07-31
178 Ye, Mingyuan 葉鳴遠 Rep 2017-11-02 2018-05-07
RO 2018-05-07 2020-10-27
179 Yeh, Man Hsuan 葉蔓萱 Rep 2018-01-11 2021-02-17
180 Yeung, Kent Lai Wing 楊禮榮 Rep 2004-08-17 2005-02-08
181 Yeung, Pui Yam 楊培欽 Rep 2011-06-13 2012-07-25
182 Ying, Hak Kai 應克佳 Rep 2010-12-28 2014-11-11
183 Yip, Shui Key 葉紹基 RO 2004-08-11 2005-11-18
184 Yonts, Charles Anthony M Rep 2004-04-01 2004-10-18
185 Yoshikawa, Ryosuke Rep 2012-05-22 2013-03-29
186 Yoshikawa, Tatsuhiro 吉川龍拓 Rep 2011-06-28 2015-04-01
187 Yu, Hoi Kit 余凱傑 Rep 2006-02-16 2006-03-03
188 Yu, Maggie H W 余曉樺 F Rep 2017-01-23 2017-11-14
189 Yue, Tony Ho Tung 余浩東 M Rep 2022-09-05 2022-10-10
RO 2022-10-10
190 Yuen, Man Yan 袁文茵 RO 2010-10-18
Rep 2010-10-18 2011-03-18
191 Zhang, Qiangang 張乾剛 RO 2011-06-16 2021-10-20
192 Zhang, Ruiyue (SFC:AZB698) 張瑞玥 Rep 2014-04-02 2016-01-22
193 Zhang, Ruizhi (SFC:BIY029) 張銳之 Rep 2017-10-27 2019-02-14
194 Zhang, Sensen (SFC:AZC333) 張森森 Rep 2012-03-19 2013-04-14
195 Zhang, Xuyan 張旭妍 Rep 2018-03-06 2019-12-04
196 Zhang, Yang (SFC:AXK580) 張揚 Rep 2011-06-13 2014-09-17
197 Zhao, Geoffrey Li 趙力 M Rep 2021-07-07 2021-07-19
RO 2021-07-19
198 Zhao, Pengliang 趙鵬亮 Rep 2022-05-26
199 Zheng, Zhonghui (SFC:BAB338) 鄭鍾慧 Rep 2012-09-17
200 Zhou, Tianyou (SFC:BOC622) 周天邮 Rep 2022-07-04 2023-09-13
201 Zhu, Roujia 朱柔嘉 Rep 2016-03-17 2019-09-06

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