Nomura Securities (Hong Kong) Limited

CE No. AAK382 Licensed corporation Active

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nomura Securities (Hong Kong) Limited, a Hong Kong-based licensed corporation with CE reference AAK382. Current licensed staff on file: 0 (total recorded over time: 184). Earliest licence on file: 2010-02-01.

Licence history

ActivityFromTo
Type 1 — Dealing in securities present 2013-10-15
Type 2 — Dealing in futures contracts 2010-02-01 2013-10-15
Type 4 — Advising on securities present 2005-01-25
Type 6 — Advising on corporate finance present 2005-01-25
Type 7 — Providing automated trading services 2010-04-30 2013-01-10
Type 9 — Asset management present 2005-01-25

Licensed staff (all-time) (184)
Active on date

Name Activities First licensed To
John Joseph Adair RO 1, 2, 7 2012-03 2013-01
Shin Asano 淺野真 RO 2 Rep 2 2010-02 2012-12
Arnaud Marie Daniel Bastit RO 1, 2 Rep 1, 2 2010-07 2012-01
Michael Anthony Di Iorio RO 1, 2 Rep 1, 2 2008-12 2010-05
Paul Tiernan Dolan RO 1, 2, 7 Rep 2 2010-02 2012-07
Jean El-Khoury RO 1, 2, 7 Rep 1, 2 2011-01 2013-04
Yoshihiro Fukuta 福田吉洋 RO 1 Rep 1 2008-04 2009-04
Yoshinori Go 鄉喜順 RO 1 Rep 1 2004-08 2008-04
Lee Kerry Hemmings RO 1, 2, 7 2009-04 2011-11
Harrison Lok Sang Ho 何樂生 RO 2 Rep 2 2010-02 2013-05
Toru Ichimura 市村亨 RO 1 Rep 1 2004-12 2006-07
Robert Karl Laible RO 1, 7 2010-04 2012-11
David Tai Yuen Lam 林大源 RO 1, 2 2013-01 2013-03
Daisuke Mototani RO 1, 2 Rep 1, 2 2012-07 2013-05
Yuji Nakata 中田裕二 RO 1 Rep 1 2007-05 2008-04
Minoru Shinohara 篠原實 RO 1, 2, 7 2009-04 2013-05
Tomoyuki Teraguchi RO 1 Rep 1 2004-07 2009-04
Kunio Watanabe RO 1 Rep 1 2006-04 2009-04
Noriyasu Yoshizawa RO 1, 4, 6, 9 Rep 1 Pre-2003 2005-05
Syed Asad Abbas Rep 1, 2 2010-06 2013-04
Chae Young Ahn Rep 2 2010-02 2011-11
Takahiro Ambai 安倍貴博 Rep 2 2010-02 2013-04
Yeon Kyung An 安延卿 Rep 2 2011-08 2013-04
Gaurav Arora Rep 1, 2 2009-01 2012-06
Sayaka Azuma Rep 2 2013-01 2013-04
Bharathan Kanthimathinathan Balasubramanian Rep 1, 2 2010-03 2012-06
Maxine Bernice Barnett Rep 1, 2 2008-12 2010-07
Paul Richard Beresford Rep 2 2010-02 2012-12
Kirtes Bharti Rep 1 2009-01 2009-05
Rachid Bouzouba Rep 1, 2, 7 2010-06 2011-04
Stephanie Bradshaw 李婉青 Rep 1, 2 2008-12 2010-05
Jean-Sebastien Pierre Bret Rep 1, 2 2008-12 2013-04
Alexander Milligan Burnes Rep 1, 2 2009-05 2011-08
John Patrick Burns Rep 1, 2 2010-02 2013-04
Richard Anthony Byworth Rep 2 2010-02 2013-04
Kwok Fai Chak 翟國輝 Rep 1, 2 2011-01 2013-03
Ka Ying Chan 陳嘉盈 Rep 2 2010-02 2013-04
Wing Yin (SFC:ARX074) Chan 陳詠賢 Rep 2 2010-02 2013-04
Ling Chau 周凌 Rep 2 2010-02 2011-07
Benjamin Marc John Chekroun Rep 2 2010-02 2011-11
Chengze Chen Rep 1, 2 2008-12 2012-08
Chih Hsiung Vincent Cheng 鄭智雄 Rep 2 2010-02 2011-07
Kwok Wai Cheng 鄭國偉 Rep 1 2008-12 2008-12
San Tat Cheung 張新達 Rep 2 2010-02 2013-04
Wing Yan Cheung 張詠欣 Rep 2 2010-02 2013-04
Sai Lung Chiong 張世龍 Rep 1 2004-11 2006-04
Siu Sang Chiu 趙小珊 Rep 2 2010-02 2011-07
Ivy Ngai Wai Chok 卓艾維 Rep 1, 2 2008-04 2010-05
Kenny Chong 莊嘉麟 Rep 1, 2 2008-12 2013-04
Chi-Sun Chui 徐志真 Rep 1 2008-12 2009-10
Rohit Madan Mohan Chulani Rep 1 2008-12 2009-04
Ji Bak Chung 鄭知博 Rep 2 2010-12 2013-03
Ka Kei Chung 鍾家琦 Rep 1, 2 2011-09 2013-04
Man Sun Chung 鍾文燊 Rep 1, 4, 6, 9 Pre-2003 2008-12
Suk Moon Chung 鄭碩紋 Rep 2 2012-03 2013-04
Brian John Corbett Rep 1, 2 2011-10 2013-04
Crisostomo Medardo Felicisimo Cultura 顧鎮廷 Rep 1 2008-11 2012-12
Imran Sooleman Dadabhoy Rep 1, 2 2009-11 2010-05
Anthony Francis Dalton Rep 1, 2 2012-09 2013-04
Lloyd Davies Rep 2 2010-10 2013-04
Luke Fletcher Rep 2 2010-02 2010-05
Michael Floyd Rep 2 2010-02 2013-04
Minoru Fujita Rep 2 2010-02 2012-06
Adam Guy Orlebar Garrett 蓋首男 Rep 1 2008-12 2008-12
Soujit Ghosh Rep 1, 2 2009-12 2011-11
Richard John Peter Gill Rep 2 2010-02 2013-01
Douglas Samuel Goodwin Rep 1, 2 2009-12 2012-07
Arnaud Gourmelen Rep 1, 2 2008-12 2010-09
Ilane-Yonathan Pierre Guez Rep 1, 2 2012-09 2013-04
Rahul Gupta Rep 1 2008-12 2009-04
Seamus Anthony Hanly Rep 2 2010-02 2013-04
Xin (SFC:AMH819) Hao 郝昕 Rep 2 2010-02 2013-04
Hitoshi Hara Rep 2 2010-02 2010-06
Yasuko Hirabayashi Rep 2 2012-03 2013-04
Arion Man Yiu Ho 何汶叡 Rep 1 2008-12 2009-10
Tsukasa Honda Rep 1, 2 2009-01 2011-12
Nicholas John Horsley-Heather Rep 1, 2 2009-11 2012-09
Kenneth Hei King Hung 洪熙敬 Rep 2 2010-02 2010-03
Steven Chun-Jer Hung 洪俊哲 Rep 1, 2 2010-08 2011-10
Masao Inukai 犬養昌生 Rep 2 2010-02 2013-04
Christopher Lam Jung 曾俊文 Rep 1, 2 2011-08 2012-06
Sudhanshu Kajbaje Rep 1, 2 2012-12 2013-04
Katsuhito Kato 加藤勝仁 Rep 2 2010-02 2013-04
Mayumi Kato 加藤真由美 Rep 2 2010-02 2012-05
Michiko Kawahara Rep 2 2010-02 2013-04
Tang Seng Kee Rep 1 2008-12 2009-04
Ming Tung Ko 高銘東 Rep 1, 2 2012-09 2013-04
Hisako Kobayashi Rep 2 2010-02 2012-05
Matthias Koerber Rep 1, 2 2010-02 2013-04
Vikesh Kotecha Rep 1, 2 2009-10 2010-07
Calvin Si Yang Lam 林思暘 Rep 1 2008-04 2009-04
Eric Tak Shing Lam 林德成 Rep 1, 2, 4, 6, 9 Pre-2003 2010-05
Herman Kai Man Lam 林啟文 Rep 2 2010-05 2013-04
Wing Kit (SFC:AGB106) Lam 林永傑 Rep 2 2010-02 2010-03
Joseph Han Wai Lau 劉恆瑋 Rep 1, 2 2008-12 2012-08
Marcus Chi Chiu Lau 劉志超 Rep 2 2010-02 2010-05
Yau Fong Lau 劉幽芳 Rep 2 2010-02 2013-04
Kai Pong Lee 李啟邦 Rep 2 2010-02 2011-07
Nga Ying Lee 李雅瑩 Rep 2 2010-02 2010-12
Donna Rose Ong Legaspi 王金美 Rep 2 2010-02 2010-02
Showing 1–100 of 184

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