Atsushi Yamaguchi
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Atsushi Yamaguchi, a licensed Representative with CE reference AOR340. Currently licensed at 1 firm(s): SMBC Nikko Securities (Hong Kong) Limited. Active regulated activities: Type 4 - Advising on securities. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2026-03-19 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2024-03-08 | 2026-03-18 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2007-03-26 | 2016-07-02 |