UBS Securities Asia Limited
Information
- Summary:
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for UBS Securities Asia Limited, a Hong Kong-based licensed corporation with CE reference AAV882. Currently licensed for regulated activity type(s) 1 - Dealing in securities; 2 - Dealing in futures contracts; 4 - Advising on securities. Current licensed staff on file: 374 (total recorded over time: 2733).
- Category:
-
Sell side · Brokerage
- Registered address:
- 47-52/F, Two International Finance Centre, 8 Finance Street, Central
- Website:
- LinkedIn:
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 - Dealing in securities | Pre-2003 | present |
| Type 2 - Dealing in futures contracts | Pre-2003 | present |
| Type 4 - Advising on securities | Pre-2003 | present |
| Type 5 - Advising on futures contracts | Pre-2003 | 2005-02-04 |
| Type 6 - Advising on corporate finance | Pre-2003 | 2005-02-04 |
| Type 9 - Asset management | Pre-2003 | 2005-02-04 |
Licensed staff trend
-
Total licensed staff, all activities
Licensed staff (all-time) (2733)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Romain Pierre Dragoslav Barba | RO 1, 2 Rep 1, 2 | 2024-02 | Present |
| Chi Lap Chan 陳志立 | RO 4 Rep 4 | 2011-01 | Present |
| Raymond Yiu Yue Chan 陳耀宇 | RO 1, 2 Rep 1, 2, 4, 6, 9 | Pre-2003 | Present |
| Gautam Chhaochharia | RO 4 Rep 1, 2, 4 | 2010-12 | Present |
| Alan Metin Ersoy | RO 1 Rep 1, 2 | 2017-11 | Present |
| Fabien Jean Roger Falipou | RO 1, 2 Rep 1, 2 | 2017-11 | Present |
| Dongming Fang 房東明 | RO 1 Rep 1, 2, 4, 6, 9 | Pre-2003 | Present |
| Jon Kristofer Farthing | RO 1 Rep 1, 2 | 2017-10 | Present |
| Victor Vladislav Gusak | RO 2 Rep 1, 2 | 2019-08 | Present |
| Christopher James Andrews Hunt | RO 1, 2 Rep 1, 2, 4, 6, 9 | Pre-2003 | Present |
| David James Innerdale | RO 1, 2 Rep 1, 2 | 2005-03 | Present |
| Jing Li 李菁 | RO 1, 2 Rep 1, 2 | 2007-05 | Present |
| Eric Pui Kwan Lin 連沛堃 | RO 4 Rep 4 | 2010-08 | Present |
| Niall James MacLeod | RO 4 Rep 1, 2, 4 | 2008-06 | Present |
| Peter Richard McNulty | RO 1 Rep 1, 2 | 2013-08 | Present |
| Abhishek Dushyant Mohla | RO 1, 2 Rep 1, 2 | 2010-03 | Present |
| Vaibhav Sehgal | RO 1 Rep 1, 2 | 2025-10 | Present |
| Mohammed Saad Slaoui | RO 1, 2 Rep 1, 2 | 2011-09 | Present |
| John William Stephens | RO 4 Rep 4 | 2023-10 | Present |
| Taichi Takahashi 高橋太一 | RO 1, 2 Rep 1, 2 | 2012-08 | Present |
| Tim Wannenmacher | RO 1, 2 Rep 1, 2 | 2011-05 | Present |
| Yik Yuen Woo 胡翊遠 | RO 1 Rep 1, 2 | 2007-06 | Present |
| Ranjana | Rep 1 | 2020-06 | Present |
| Michael James Abou-Seif | Rep 1, 2 | 2022-10 | Present |
| Randy I Abrams | Rep 4 | 2024-01 | Present |
| Anand Agarwal | Rep 1, 2 | 2009-02 | Present |
| Valeriia Alterman | Rep 1, 2 | 2018-06 | Present |
| Satoshi Amatani | Rep 1, 2 | 2024-01 | Present |
| Michael Kojo Olukayode Amissah | Rep 1, 2 | 2025-03 | Present |
| Patrick Mehran Ansari | Rep 1, 2 | 2015-07 | Present |
| Tommaso Aquilante | Rep 4 | 2026-08 | Present |
| Rika Ariizumi 有泉利香 | Rep 1, 2 | 2023-09 | Present |
| Elias Audi | Rep 1, 2 | 2013-11 | Present |
| Weizhou Bai 白煒洲 | Rep 4 | 2023-10 | Present |
| Romain Barbara | Rep 1, 2 | 2020-07 | Present |
| Bhanu Baweja | Rep 4 | 2011-07 | Present |
| David Gareth Best | Rep 1, 2 | 2011-03 | Present |
| Milan Bhavan Borad | Rep 1 | 2025-11 | Present |
| Robin Bourbon | Rep 1, 2 | 2022-08 | Present |
| Timothy David Bush | Rep 4 | 2015-06 | Present |
| Zhibin Cai 蔡志斌 | Rep 1, 2 | 2011-10 | Present |
| Adrian Giancarlo Campos Diaz | Rep 1, 2 | 2016-03 | Present |
| Matteo Cappellini | Rep 1 | 2020-05 | Present |
| Shane Carroll | Rep 1, 2 | 2018-04 | Present |
| Sebastien Cerbourg | Rep 1 | 2022-03 | Present |
| Tony Marian Chalmers | Rep 1, 2 | 2017-07 | Present |
| Bonnie See Wa Chan 陳思華 | Rep 1, 2 | 2018-08 | Present |
| Chi Lam Chan 陳智嵐 | Rep 1, 2 | 2025-12 | Present |
| Ching Kiu Chan 陳正翹 | Rep 1, 2 | 2025-10 | Present |
| Ching Yin Marcus Chan 陳政諺 | Rep 1 | 2026-03 | Present |
| Siu Ting Chan 陳小婷 | Rep 4 | 2023-10 | Present |
| Tik Wai Chan 陳迪偉 | Rep 1 | 2024-10 | Present |
| Jack Chun-Chieh Chang 張俊傑 | Rep 1, 2 | 2019-01 | Present |
| Lei Chang 暢磊 | Rep 1, 2 | 2015-06 | Present |
| Show Shin Chang | Rep 1, 2 | 2020-07 | Present |
| Corey Zhi Ming Cheah | Rep 1, 2 | 2022-03 | Present |
| Daryl Tak-Fung Chee 徐德丰 | Rep 1, 2 | 2019-10 | Present |
| Chen Chen 陈晨 | Rep 4 | 2023-03 | Present |
| Chengzhi Chen 陈程智 | Rep 4 | 2024-10 | Present |
| Junyi Chen 陈君仪 | Rep 1 | 2025-10 | Present |
| Lijuan Chen 陳利娟 | Rep 1 | 2011-10 | Present |
| Qiong Chen 陈琼 | Rep 4 | 2026-08 | Present |
| Ruoyao Chen 陳若瑶 | Rep 4 | 2026-02 | Present |
| Si Chen 陳斯 | Rep 1, 2 | 2022-07 | Present |
| Wen Chen 陈雯 | Rep 4 | 2023-09 | Present |
| Wen-Chin Chen 陳玟瑾 | Rep 4 | 2010-05 | Present |
| Xin Chen 陳欣 | Rep 4 | 2011-07 | Present |
| Yuhan Chen 陈昱含 | Rep 4 | 2026-07 | Present |
| Ho Hon Cheng 鄭浩漢 | Rep 1, 2, 4 | 2024-07 | Present |
| Yu Chieh Cheng 鄭祐杰 | Rep 1, 2 | 2020-10 | Present |
| So Wah Cheuk 卓素華 | Rep 1, 2 | 2008-05 | Present |
| Chin Ho Cheung 章展豪 | Rep 1, 2 | 2023-09 | Present |
| Chui Ting Cheung 張翠婷 | Rep 4 | 2023-05 | Present |
| Edward Cheung 張子謙 | Rep 1 | 2019-07 | Present |
| Priscilla Po Kwan Cheung 張寶筠 | Rep 1, 2 | 2025-11 | Present |
| Benny Xiang Chia 謝祥 | Rep 1 | 2025-02 | Present |
| Ho Ying Chik 植浩瀅 | Rep 1 | 2022-10 | Present |
| Carmen Gar Min Chiu 趙嘉雯 | Rep 1, 2 | 2022-08 | Present |
| Yunhaeng Cho | Rep 4 | 2023-01 | Present |
| Sheung Ngai Choi 蔡尚毅 | Rep 1, 2 | 2015-05 | Present |
| Wai Man Choi 蔡慧敏 | Rep 1 | 2005-07 | Present |
| Chi Chai Chow 周子齊 | Rep 4 | 2026-01 | Present |
| Pei San Chow 周佩珊 | Rep 4 | 2024-05 | Present |
| Kong Lung Chung 鍾港龍 | Rep 1 | 2018-11 | Present |
| Jonathan Lee Coombs 顧植德 | Rep 1, 2 | 2023-02 | Present |
| Thomas Donovan Crump | Rep 1, 2 | 2022-01 | Present |
| Jianyu Dang 党剑宇 | Rep 4 | 2025-11 | Present |
| Permadawani Darmono | Rep 4 | 2017-04 | Present |
| Christopher Edward Davis | Rep 1, 2 | 2011-04 | Present |
| Jun Deng 邓俊 | Rep 4 | 2023-07 | Present |
| Weishen Deng 鄧維慎 | Rep 4 | 2019-05 | Present |
| Yueli Ding 丁月麗 | Rep 4 | 2020-02 | Present |
| Daniel Vincent Dowd | Rep 4 | 2019-01 | Present |
| Yichun Duan 段詒純 | Rep 1, 2 | 2022-12 | Present |
| Anurag Dhar Dwivedi | Rep 1, 2 | 2023-04 | Present |
| Chenjun Fang 方辰君 | Rep 4 | 2017-06 | Present |
| Shuai Fang 房帥 | Rep 1, 2 | 2020-05 | Present |
| Tian Fang 方田 | Rep 1, 2 | 2024-01 | Present |
| Xinyu Fang 方昕宇 | Rep 4 | 2020-09 | Present |
| Sarah Farhat | Rep 1, 2 | 2020-04 | Present |
Showing 1–100 of 2733
Other Hong Kong SFC firms with overlapping regulated activities
China International Capital Corporation Hong Kong Securities Limited
CE AEN894 - 1643 staff - 3 shared activity types - 中國國際金融香港證券有限公司
Huatai Financial Holdings (Hong Kong) Limited
CE AOK809 - 849 staff - 3 shared activity types - 華泰金融控股(香港)有限公司
Nomura International (Hong Kong) Limited
CE AAF742 - 541 staff - 3 shared activity types - 野村國際(香港)有限公司
Citigroup Global Markets Asia Limited
CE AAA137 - 462 staff - 3 shared activity types - 花旗環球金融亞洲有限公司
China Merchants Securities (HK) Co., Limited
CE AAI650 - 425 staff - 3 shared activity types - 招商證券(香港)有限公司
Manulife Investment Management (Hong Kong) Limited
CE ACP555 - 408 staff - 3 shared activity types - 宏利投資管理(香港)有限公司
Guotai Junan Securities (Hong Kong) Limited
CE ABY236 - 382 staff - 3 shared activity types - 國泰君安證券(香港)有限公司
BOCI Securities Limited
CE AAC298 - 323 staff - 3 shared activity types - 中銀國際證券有限公司