UBS Securities Hong Kong Limited
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for UBS Securities Hong Kong Limited, a Hong Kong-based licensed corporation with CE reference BIN466. Currently licensed for regulated activity type(s) 1 - Dealing in securities; 2 - Dealing in futures contracts; 6 - Advising on corporate finance; 7 - Providing automated trading services. Current licensed staff on file: 352 (total recorded over time: 1442). Earliest licence on file: 2016-12-19.
Registered address
47-52/F, Two International Finance Centre, 8 Finance Street, Central
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 - Dealing in securities | 2016-12-19 | present |
| Type 2 - Dealing in futures contracts | 2016-12-19 | present |
| Type 6 - Advising on corporate finance | 2016-12-19 | present |
| Type 7 - Providing automated trading services | 2016-12-19 | present |
Licensed staff (all-time) (1442)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Zhen An 安鎮 | RO 6 Rep 6 | 2018-01 | 2021-08 |
| Romain Pierre Dragoslav Barba | RO 1, 2 Rep 1, 2 | 2024-02 | Present |
| Gaetano Bassolino | RO 6 Rep 6 | 2019-04 | Present |
| Clarence John Beshke | RO 1 Rep 1 | Pre-2003 | 2013-11 |
| John Bradshaw | RO 1 Rep 1 | 2005-04 | 2012-03 |
| Tian Cen 岑天 | RO 6 Rep 6 | 2012-06 | Present |
| Andy Kok Heng Chan | RO 1 | 2005-12 | 2011-02 |
| Karen Hoi Yun Chan 陳凱恩 | RO 6 Rep 6 | 2012-06 | 2018-03 |
| Lap Lam Chan 陳立林 | RO 6 Rep 6 | 2012-06 | Present |
| Benjamin Victor Michael Chandler | RO 1, 2 Rep 1 | 2011-06 | 2019-11 |
| Jimmy Min Tat Cheng 鄭勉達 | RO 1, 4, 6, 9 | Pre-2003 | 2007-04 |
| Po Chuen Cheng 鄭寶川 | RO 6 | 2012-06 | 2015-01 |
| Hung I Chin 金弘毅 | RO 6 Rep 6 | 2012-06 | 2022-11 |
| Winnie Mo Sze Chiu 趙慕詩 | RO 1 Rep 1 | 2009-09 | 2012-11 |
| Tin Tak Cho 曹天德 | RO 6 Rep 6 | 2020-02 | 2025-08 |
| Yao Hoong Chong 張耀鴻 | RO 6 Rep 6 | 2012-06 | Present |
| Michael Man Ho Chu 朱文浩 | RO 1 Rep 1 | 2016-08 | 2025-12 |
| Tat Chee Chu 朱達之 | RO 6 Rep 6 | 2023-10 | Present |
| Wai Shing (SFC:AMF222) Chung 鍾偉成 | RO 6 Rep 6 | 2012-06 | 2017-03 |
| Timothy Edward Clifford | RO 1 Rep 1, 2, 7 | 2013-07 | 2017-02 |
| John Martinus Coffeng | RO 1 | 2010-03 | 2010-09 |
| Laurent Benoit Georges Combalot | RO 1, 2, 7 | 2009-05 | 2025-02 |
| Christopher John Craig-Wood | RO 1 Rep 1 | 2010-07 | 2016-03 |
| Bryan Crawford | RO 6 Rep 6 | 2013-11 | 2019-07 |
| Stuart Dalyn Currey | RO 1 Rep 1, 2 | 2011-09 | 2021-01 |
| Thomas Henri S. M. de Garidel-Thoron | RO 1, 2, 7 Rep 1, 2 | 2020-10 | 2026-02 |
| Alan Metin Ersoy | RO 1 Rep 1, 2, 7 | 2017-11 | Present |
| Fabien Jean Roger Falipou | RO 1, 2 Rep 1, 2 | 2017-11 | Present |
| Yun Feng 馮贇 | RO 6 Rep 6 | 2018-03 | 2023-12 |
| Boris Xavier Feschet | RO 1, 2 Rep 1 | 2012-04 | 2019-05 |
| Robert Michael Flynn | RO 1 Rep 1 | 2006-03 | 2008-06 |
| Shrinivas Ravindra Gangal | RO 2 Rep 1, 2 | 2013-07 | 2025-08 |
| Stephen Patrick Gore | RO 6 | 2012-06 | 2012-08 |
| Victor Vladislav Gusak | RO 2 Rep 1, 2 | 2019-08 | Present |
| Nicholas Owen Hassall | RO 6 Rep 6 | 2012-06 | 2017-03 |
| Chuan (SFC:AVH597) He 何川 | RO 6 Rep 6 | 2012-06 | 2019-09 |
| Hao (SFC:APG277) He 何浩 | RO 6 Rep 6 | 2022-02 | 2023-10 |
| Alex Healey | RO 7 Rep 1, 7 | 2015-01 | 2019-11 |
| Wai Sze Ho 何慧思 | RO 6 Rep 6 | 2012-06 | Present |
| Samantha Wai Man Hon 韓慧文 | RO 6 Rep 6 | 2012-06 | 2021-12 |
| Ya Chuan Huang 黃雅釧 | RO 6 | 2012-10 | 2013-01 |
| David James Innerdale | RO 1, 2 Rep 1, 2 | 2011-06 | Present |
| Richard Kao 高敬倫 | RO 6 Rep 6 | 2023-10 | Present |
| Samuel James Kendall | RO 6 Rep 6 | 2012-06 | 2019-11 |
| Liang Heong Koh | RO 6 | 2012-06 | 2013-10 |
| Vikesh Kotecha | RO 1 Rep 1, 2 | 2017-04 | 2019-12 |
| Mo Yee Lam 林慕怡 | RO 6 Rep 6 | 2012-06 | 2015-12 |
| Chris Cheuk Wah Lau 劉卓樺 | RO 6 Rep 6 | 2012-06 | 2020-04 |
| Raymond Wai Cheuk Lau 劉偉卓 | RO 6 Rep 6 | 2012-06 | 2018-02 |
| John Chen Kwok Lee 李鎮國 | RO 6 Rep 6 | 2017-03 | Present |
| Bing Lei 雷冰 | RO 6 Rep 6 | 2020-11 | 2023-11 |
| Winnie Sin Yeng Leung 梁善盈 | RO 6 Rep 6 | 2012-06 | 2019-06 |
| Jing (SFC:AOV618) Li 李菁 | RO 1, 2, 7 Rep 1, 2, 7 | 2007-05 | Present |
| Yilu Li 李伊呂 | RO 6 Rep 6 | 2016-01 | Present |
| Hiu Lau Liu 廖曉柳 | RO 6 Rep 6 | 2023-11 | 2024-10 |
| Yan (SFC:ANR968) Lu 盧燕 | RO 6 Rep 6 | 2012-06 | 2018-04 |
| Jun Luo 羅駿 | RO 6 Rep 6 | 2012-06 | Present |
| Stuart Bruce Rory MacKay | RO 6 Rep 6 | 2012-06 | 2018-02 |
| Yingxu Mao 毛應旭 | RO 6 Rep 6 | 2012-06 | 2015-05 |
| Peter Richard McNulty | RO 1 Rep 1, 2 | 2013-08 | Present |
| Lee Michael McQueen | RO 1 Rep 1, 4, 6, 9 | Pre-2003 | 2009-04 |
| Elizabeth Kathleen Miller | RO 1 Rep 1, 2 | 2017-05 | 2020-07 |
| Abhishek Dushyant Mohla | RO 1, 2, 7 Rep 1, 7 | 2010-03 | Present |
| Daniel Joseph Murphy | RO 1 Rep 1, 2, 7 | 2017-03 | 2022-02 |
| Kevin Mitchell Myers | RO 1 Rep 1 | 2006-12 | 2010-05 |
| Chun Wai Ng 吳俊威 | RO 1, 2 Rep 1, 2 | 2007-06 | 2025-04 |
| Ming Tak Ngai 魏明德 | RO 6 | 2012-06 | 2013-11 |
| Chuen Shun Ngie 倪傳順 | RO 6 Rep 6 | 2020-07 | Present |
| Daniel Fabio Nussbaum | RO 6 Rep 6 | 2014-08 | 2023-09 |
| Christopher James Sidney O'Meara | RO 1 Rep 1 | 2010-07 | 2014-04 |
| Nicola Pantone | RO 1 Rep 1, 2, 7 | 2021-12 | 2025-10 |
| Richard John Patterson | RO 1 Rep 1, 7 | 2009-10 | 2013-05 |
| Stephane Albert Petermann | RO 1, 2 Rep 1, 2 | 2017-04 | 2019-10 |
| Ming Pui Poon 潘明培 | RO 1, 4, 6, 9 Rep 1 | Pre-2003 | 2005-09 |
| David Rabinowitz | RO 1, 7 Rep 1, 2, 7 | 2006-12 | 2026-05 |
| Paul Robert Redbourn | RO 1 Rep 1 | 2006-03 | 2015-01 |
| Ning Ren 任凝 | RO 6 Rep 6 | 2015-03 | 2026-05 |
| Vassili Benjamin Maurice Valentin Reperant | RO 1, 2 Rep 1, 2 | 2020-01 | Present |
| Scott Antony Saunders | RO 1 | Pre-2003 | 2005-10 |
| Eric Bradley Saxvik | RO 1 Rep 1, 4, 6, 9 | Pre-2003 | 2012-04 |
| Vaibhav Sehgal | RO 1 Rep 1, 2, 7 | 2025-10 | Present |
| Sanjeevan Shivalingam | RO 7 Rep 1, 7 | 2009-09 | 2021-04 |
| Mohammed Saad Slaoui | RO 1, 2 Rep 1, 2 | 2011-09 | Present |
| Bjoern Petter Waldemar Sternby | RO 6 Rep 6 | 2020-02 | Present |
| Yoon Kyu Sung | RO 1, 2 Rep 1, 2 | 2013-07 | 2024-03 |
| Taichi Takahashi 高橋太一 | RO 1, 2, 7 Rep 1 | 2012-08 | Present |
| Freddie Kuok Lin Tan | RO 2 Rep 1 | 2009-06 | 2019-11 |
| Vincent Chi Hang Tang 鄧志恒 | RO 6 Rep 6 | 2021-06 | Present |
| Patrick Kong Hung Tsang 曾剛雄 | RO 6 | 2012-06 | 2023-05 |
| Tim Wannenmacher | RO 1, 2, 7 Rep 1 | 2013-11 | Present |
| Jimmy Ka Fai Wong 黃家輝 | RO 6 Rep 6 | 2012-06 | 2020-03 |
| Yik Yuen Woo 胡翊遠 | RO 1, 7 Rep 1, 2, 7 | 2007-06 | Present |
| Yang (SFC:ALN489) Xia 夏阳 | RO 1, 7 Rep 1, 7 | 2007-05 | 2015-10 |
| Julia Xiao 肖楠 | RO 6 Rep 6 | 2012-06 | 2018-05 |
| Choo Guan Yeoh 楊紫源 | RO 1 Rep 1 | 2007-02 | 2020-04 |
| Sui Chong Yiu 姚穗莊 | RO 6 Rep 6 | 2015-06 | 2025-04 |
| Jason Wah Chiu Yu 余華超 | RO 1, 4, 6, 9 Rep 1 | Pre-2003 | 2011-06 |
| Rachit Raj | Rep 1, 2 | 2015-08 | 2019-08 |
| Sufyan Bin Abdul Jabbar | Rep 6 | 2020-10 | 2020-12 |
| Neil L Advani | Rep 1 | 2011-07 | 2012-02 |
Showing 1–100 of 1442
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