SMBC Nikko Securities (Hong Kong) Limited
日興證券(香港)有限公司
Information
- Summary:
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for SMBC Nikko Securities (Hong Kong) Limited (日興證券(香港)有限公司), a Hong Kong-based licensed corporation with CE reference BWU838. Currently licensed for regulated activity type(s) 1 - Dealing in securities; 2 - Dealing in futures contracts; 4 - Advising on securities; 5 - Advising on futures contracts; 6 - Advising on corporate finance. Current licensed staff on file: 181 (total recorded over time: 401). Earliest licence on file: 2012-07-20.
- Category:
-
Sell side · Investment banking
- Registered address:
- 8/F, One International Finance Centre, 1 Harbour View Street, Central
- Website:
- LinkedIn:
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 - Dealing in securities | Pre-2003 | present |
| Type 1 - Dealing in securities | 2026-03-19 | present |
| Type 2 - Dealing in futures contracts | 2017-11-07 | present |
| Type 2 - Dealing in futures contracts | 2026-03-19 | present |
| Type 4 - Advising on securities | Pre-2003 | present |
| Type 4 - Advising on securities | 2026-03-19 | present |
| Type 5 - Advising on futures contracts | 2017-11-07 | present |
| Type 5 - Advising on futures contracts | 2026-03-19 | present |
| Type 6 - Advising on corporate finance | 2012-07-20 | present |
| Type 6 - Advising on corporate finance | 2026-03-19 | present |
| Type 6 - Advising on corporate finance | Pre-2003 | 2003-06-24 |
| Type 9 - Asset management | Pre-2003 | 2010-10-27 |
Licensed staff trend
-
Total licensed staff, all activities
Licensed staff (all-time) (401)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Yushi Araki 荒木裕史 | RO 1, 2, 4, 5 | 2025-06 | Present |
| Shunsuke Fujii 藤井俊介 | RO 1, 2, 4, 5 Rep 1 | 2024-01 | Present |
| Hironori Hattori | RO 1, 2, 4, 5, 6 | 2024-05 | Present |
| Haotian He 何昊天 | RO 1, 4, 6 Rep 1, 4, 6 | 2021-07 | Present |
| Yulin He 何羽琳 | RO 1, 4, 6 Rep 1, 4, 6 | 2026-06 | Present |
| Yancheng Hong 洪研程 | RO 1, 2, 4, 5 Rep 1, 2, 4, 5 | 2021-03 | Present |
| Li Ern Joy Kwek 郭麗恩 | RO 1, 4, 6 Rep 1, 4, 6 | 2025-10 | Present |
| Yushi Makita | RO 1, 2 | 2026-03 | Present |
| Yoichi Ohashi | RO 1, 2, 4, 5 Rep 1, 2, 4, 5 | 2023-07 | Present |
| Machiko Sampson | RO 1, 2, 4, 5 Rep 1, 2, 4, 5 | 2011-04 | Present |
| Arisa Shimamoto | RO 1, 2, 4, 5 Rep 1, 2, 4, 5 | 2015-11 | Present |
| Rong Song 宋嵘 | RO 1, 4, 6 Rep 1, 4, 6 | 2021-05 | Present |
| Tony Ho Tung Yue 余浩東 | RO 1, 4, 6 Rep 1, 6 | 2022-09 | Present |
| Salim Zaman | RO 1, 2, 4, 5 Rep 1, 2, 4, 5 | 2025-06 | Present |
| Kazuyuki Abe 阿部一幸 | Rep 1, 4, 6 | 2025-03 | Present |
| Naoki Abe 阿部直樹 | Rep 1, 4, 6 | 2026-01 | Present |
| Nao Akiyama 秋山尚 | Rep 1, 4, 6 | 2026-07 | Present |
| Chafik Amira | Rep 1, 4, 6 | 2024-11 | Present |
| Koki Ato 阿藤康貴 | Rep 1, 4, 6 | 2024-07 | Present |
| James William Bainbridge | Rep 1, 4 | 2017-10 | Present |
| Qifang Cai 蔡企放 | Rep 1, 2 | 2026-03 | Present |
| Thomas Carlone | Rep 1, 4 | 2022-06 | Present |
| Ching Han Chan 陳靜嫻 | Rep 1, 4 | 2016-01 | Present |
| Penghao Chen 陈鹏昊 | Rep 1, 2 | 2026-06 | Present |
| Kai Ming Gary Chow 周啟明 | Rep 1, 4, 6 | 2025-09 | Present |
| Neill Alexander Christie | Rep 1, 4 | 2024-08 | Present |
| Marcelo Hector Delmar | Rep 1, 4, 6 | 2024-11 | Present |
| Miki den 田未来 | Rep 4 | 2025-04 | Present |
| Junichi Fujimoto | Rep 1, 2, 4, 5 | 2023-05 | Present |
| Kohei Fujisawa | Rep 1, 4, 6 | 2025-10 | Present |
| Masahiro Fujisawa 藤澤正博 | Rep 1, 4, 6 | 2025-05 | Present |
| Kazuya Fujita 藤田和哉 | Rep 1, 4, 6 | 2026-04 | Present |
| Akinobu Fukoe 普光江昭暢 | Rep 1, 4, 6 | 2025-08 | Present |
| Rie Fukunaga | Rep 1, 4 | 2024-10 | Present |
| Gaichi Funatsu 船津賀一 | Rep 1, 4 | 2026-01 | Present |
| Daichi Hamada 濱田大地 | Rep 4 | 2026-01 | Present |
| Joyce Michiko Hamada 浜田美智子 | Rep 1, 4 | 2022-11 | Present |
| Takeru Hanaya 花屋武 | Rep 4 | 2025-01 | Present |
| Takayuki Hara | Rep 4 | 2023-09 | Present |
| Kentaro Harada 原田賢太郎 | Rep 1, 4 | 2025-03 | Present |
| Ryo Hattori 服部遼 | Rep 1, 4, 6 | 2026-05 | Present |
| Chun He 何淳 | Rep 1, 2, 4, 5 | 2025-03 | Present |
| Hiu Kwan Ho 何曉筠 | Rep 1, 4 | 2014-08 | Present |
| Pak Nin Kenneth Ho 何柏年 | Rep 1, 4, 6 | 2025-09 | Present |
| Xinzhe Huang 黃昕哲 | Rep 1, 4, 6 | 2023-03 | Present |
| Masashi Iguchi 井口将 | Rep 1, 4, 6 | 2025-08 | Present |
| Toru Imayoshi 今吉徹 | Rep 1, 4, 6 | 2025-10 | Present |
| Shogo Inaba 稲葉昇吾 | Rep 1, 4, 6 | 2024-10 | Present |
| Koki Inami 井浪孝紀 | Rep 1, 4, 6 | 2026-05 | Present |
| Takaaki Inoue | Rep 1, 4, 6 | 2025-08 | Present |
| Tadataka Ishida 石田忠隆 | Rep 1, 4, 6 | 2025-05 | Present |
| Keiichi Ito | Rep 4 | 2024-09 | Present |
| Hiroyuki Kadota | Rep 1, 4, 6 | 2024-11 | Present |
| Takahiro Kagiyama 鍵山学宏 | Rep 1, 4, 6 | 2026-08 | Present |
| Koji Kamichika | Rep 4 | 2024-10 | Present |
| Yoshikazu Kamiya 神谷嘉一 | Rep 1, 2, 4, 5 | 2025-03 | Present |
| Kuni Kanamori | Rep 4 | 2024-01 | Present |
| Mayo Kaneko | Rep 1, 4 | 2024-11 | Present |
| Naoaki Karaki 唐木直暁 | Rep 1, 4, 6 | 2025-05 | Present |
| Mayumi Kato 加藤真由美 | Rep 1, 2, 4, 5 | 2012-07 | Present |
| Ryosuke Katsura 桂 竜輔 | Rep 4 | 2020-03 | Present |
| Kazuki Kawamura 川村一気 | Rep 1, 4, 6 | 2025-02 | Present |
| Hiroki Kawashima | Rep 4 | 2024-01 | Present |
| Anthony Kay | Rep 1, 4 | 2025-03 | Present |
| Satoru Kikuchi | Rep 4 | 2024-01 | Present |
| Genki Kiriu 桐生元樹 | Rep 1, 4, 6 | 2025-07 | Present |
| Megumi Ko 顧恵實 | Rep 1, 4 | 2023-06 | Present |
| Kaya Kobayashi 周宛嬋 | Rep 1, 4 | 2020-08 | Present |
| Yusuke Kobayashi 小林佑介 | Rep 1, 4, 6 | 2026-03 | Present |
| Ryosuke Kodama | Rep 1, 4, 6 | 2024-10 | Present |
| Yuya Kodama 児玉祐哉 | Rep 1, 4, 6 | 2025-10 | Present |
| Yoshitake Koga 古閑善丈 | Rep 1, 4, 6 | 2026-05 | Present |
| Takashi Kokabu | Rep 1, 4, 6 | 2024-09 | Present |
| Takuya Komatsu 小松卓也 | Rep 1, 4, 6 | 2025-08 | Present |
| Ken Kondo | Rep 1, 4 | 2024-12 | Present |
| Daisuke Kosaka 高坂太佑 | Rep 1, 4, 6 | 2025-01 | Present |
| Kenji Kuya | Rep 1, 4, 6 | 2026-06 | Present |
| Rei Kyogoku 京極玲 | Rep 1, 4, 6 | 2025-03 | Present |
| Chi Ian Lai 黎芷昕 | Rep 1, 4, 6 | 2021-06 | Present |
| Gary Ka Wun Lam 林家垣 | Rep 1, 4 | 2021-02 | Present |
| King Sau Lam 林勁秀 | Rep 1, 4, 6 | 2017-08 | Present |
| Po Ki Lau 劉寶棋 | Rep 1, 4 | 2025-12 | Present |
| Tsui Hung Lau 劉翠紅 | Rep 1, 4, 6 | 2025-09 | Present |
| Fredrick Changwon Lee | Rep 1, 4 | 2025-10 | Present |
| Jooho Lee | Rep 1, 4 | 2025-11 | Present |
| Sin Ki Lee 李倩琪 | Rep 1, 4, 6 | 2025-09 | Present |
| Man Chung Francis Leung 梁文聰 | Rep 1, 4, 6 | 2025-09 | Present |
| Yuen Yi Kim Leung 梁苑怡 | Rep 1, 4 | 2022-06 | Present |
| Xia Liu 刘夏 | Rep 4 | 2024-10 | Present |
| Xunzhe Liu 刘迅喆 | Rep 1, 4 | 2024-12 | Present |
| Zheng Liu 刘铮 | Rep 1, 4, 6 | 2025-02 | Present |
| Eiji Maeda | Rep 4 | 2024-02 | Present |
| Takuya Maeda | Rep 4 | 2024-03 | Present |
| Yasuhiro Maehara 前原康寛 | Rep 1, 4, 6 | 2026-06 | Present |
| Junichi Makino | Rep 4 | 2024-02 | Present |
| Akichika Maruhashi | Rep 1, 4, 6 | 2025-08 | Present |
| Susumu Maruyama | Rep 1, 4 | 2024-10 | Present |
| Kenya Matsuo | Rep 4 | 2024-08 | Present |
| Takuya Matsuura 松浦拓也 | Rep 1, 4, 6 | 2025-05 | Present |
| Ryozo Minagawa | Rep 4 | 2023-12 | Present |
Showing 1–100 of 401
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