UBS Securities Asia Limited

CE No. AAV882 Licensed corporation Active

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: 382 (total recorded over time: 2708).

More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →

Registered address

47-52/F, Two International Finance Centre, 8 Finance Street, Central

Licence history

ActivityFromTo
Type 1 — Dealing in securities present present
Type 2 — Dealing in futures contracts present present
Type 4 — Advising on securities present present
Type 5 — Advising on futures contracts present 2005-02-04
Type 6 — Advising on corporate finance present 2005-02-04
Type 9 — Asset management present 2005-02-04

Licensed staff (all-time) (2708)
Active on date

Name Activities First licensed To
Bilal Al-Ali RO 1, 2 Rep 1, 2 2012-08 2021-04
Julien Yves Bahurel RO 1, 2 Rep 1, 2 2010-11 2013-04
Romain Pierre Dragoslav Barba RO 1, 2 Rep 1, 2 2024-02 Present
Clarence John Beshke RO 1, 2 Rep 1, 2 Pre-2003 2013-11
Peter William Burnett RO 1, 4, 6, 9 Pre-2003 2003-06
Andy Kok Heng Chan RO 1 Rep 1, 2, 4, 6, 9 Pre-2003 2011-02
Chi Lap Chan 陳志立 RO 4 Rep 4 2011-01 Present
Edwin Chi Ming Chan 陳賜明 RO 4 Rep 4 2007-03 2017-09
Raymond Yiu Yue Chan 陳耀宇 RO 1, 2 Rep 1, 2, 4, 6, 9 Pre-2003 Present
Alexander Paul Chang 張明波 RO 4 Rep 1, 4 2006-10 2016-04
Jimmy Min Tat Cheng 鄭勉達 RO 1, 2, 4, 5, 6, 9 Rep 1, 2 Pre-2003 2007-04
Kwok Wai Cheng 鄭國偉 RO 4 Rep 4, 6, 9 Pre-2003 2007-01
Gautam Chhaochharia RO 4 Rep 1, 2, 4 2010-12 Present
Hung I Chin 金弘毅 RO 4, 6, 9 Pre-2003 2004-07
Michael Jaewuk Chin RO 1 Rep 1, 4, 6, 9 Pre-2003 2010-07
Michael Man Ho Chu 朱文浩 RO 1 Rep 1 2016-08 2025-12
Grant Kwan Lock Chum 鄭君諾 RO 4 Rep 4 2005-09 2013-07
Timothy Edward Clifford RO 1 Rep 1, 2, 4, 6, 9 Pre-2003 2017-02
Laurent Benoit Georges Combalot RO 1, 2 Rep 1, 2, 4, 5, 6, 9 Pre-2003 2025-02
Christopher John Craig-Wood RO 2 Rep 1, 2 2010-05 2016-03
Stuart Dalyn Currey RO 1 Rep 1, 2 2011-09 2021-01
Thomas Henri S. M. de Garidel-Thoron RO 1, 2 Rep 1, 2 2020-10 2026-02
Mark Peter Louden Dowie RO 1, 6 Pre-2003 2004-04
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
Boris Xavier Feschet RO 1, 2 Rep 1, 2 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
David Paul Gray RO 1, 2 Rep 1 2007-04 2011-07
Shane Jayson Daniels Gunther RO 1, 4 Rep 1, 4 2004-08 2016-05
Victor Vladislav Gusak RO 2 Rep 1, 2 2019-08 Present
Rami Gebran Hayek RO 1, 4 Rep 1, 2, 4 2011-02 2012-09
John Michael Morgan Holland RO 1, 4, 9 Pre-2003 2003-11
Damien John Magellan Horth RO 4 Rep 4 2005-05 2022-11
Lynden Karl Howie RO 1 Rep 1 2009-05 2011-04
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
John Brennan Jacobson RO 1 Rep 1, 4, 6, 9 Pre-2003 2006-04
Andrew Jay Kleeger RO 1 Rep 1, 2 2010-07 2011-06
Vikesh Kotecha RO 1 Rep 1, 2 2017-04 2019-12
Franklin Fan Keung Lam 林奮強 RO 4 Rep 4, 6, 9 Pre-2003 2006-01
Michel Kai Tai Lee 李啟泰 RO 1, 2 Rep 1, 2 2007-01 2018-07
Jing (SFC:AOV618) 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
Andrew Look 陸東 RO 4 Rep 1, 4, 6, 9 Pre-2003 2008-08
Niall James MacLeod RO 4 Rep 4 2008-06 Present
Peter Richard McNulty RO 1 Rep 1, 2 2013-08 Present
Lee Michael McQueen RO 1 Rep 1, 2, 4, 6, 9 Pre-2003 2009-04
Elizabeth Kathleen Miller RO 1 Rep 1, 2 2015-10 2020-07
Abhishek Dushyant Mohla RO 1, 2 Rep 1, 2 2010-03 Present
Daniel Joseph Murphy RO 1 Rep 1, 2 2017-03 2025-05
Chun Wai Ng 吳俊威 RO 1, 2 Rep 1, 2 2007-06 2025-04
Christopher James Sidney O'Meara RO 1 Rep 1, 2 2010-07 2014-04
Michael Oertli RO 4, 6, 9 Pre-2003 2004-04
Bradley Wayne Orgill RO 1, 4, 6, 9 Rep 1 Pre-2003 2008-10
Nicola Pantone RO 1 Rep 1, 2 2021-12 2025-10
Min Park RO 1, 2 Rep 1, 4, 6, 9 Pre-2003 2009-04
Richard John Patterson RO 1 Rep 1, 2 2009-10 2013-05
Charles Matthew Pecot III RO 1 Rep 1, 4, 6, 9 Pre-2003 2007-03
Stephane Albert Petermann RO 1, 2 Rep 1, 2 2017-04 2019-10
Julian Charles Pickstone RO 4 Rep 1, 4, 6, 9 Pre-2003 2010-11
Nicholas Alexander Pink RO 4 Rep 4 2004-03 2007-09
Ming Pui Poon 潘明培 RO 1, 4, 6, 9 Rep 1 Pre-2003 2005-09
David Rabinowitz RO 1 Rep 1, 2, 4, 6, 9 Pre-2003 2026-01
Paul Robert Redbourn RO 1 Rep 1, 2, 4, 6, 9 Pre-2003 2019-01
Scott Antony Saunders RO 1 Rep 1 Pre-2003 2005-10
Vaibhav Sehgal RO 1 Rep 1, 2 2025-10 Present
Kathryn Y. Shih Co 施許怡敏 RO 1 Rep 1 2016-04 2019-01
Mohammed Saad Slaoui RO 1, 2 Rep 1, 2 2011-09 Present
Timothy David Smart RO 4 Rep 4 2016-02 2022-03
Bill Eun-Seok Sohn RO 4 Rep 4, 6, 9 Pre-2003 2011-09
John William Stephens RO 4 Rep 4 2023-10 Present
Yoon Kyu Sung RO 1, 2 Rep 1, 2 2004-06 2024-03
Taichi Takahashi 高橋太一 RO 1, 2 Rep 1, 2 2012-08 Present
Hirofumi Takaku RO 1, 2 Rep 1, 2 2011-06 2018-06
Tim Wannenmacher RO 1, 2 Rep 1, 2 2011-05 Present
Rodney Gordon Ward RO 4, 6, 9 Pre-2003 2003-06
Colin Thomas West RO 1, 4, 6, 9 Pre-2003 2003-06
Yik Yuen Woo 胡翊遠 RO 1 Rep 1, 2 2007-06 Present
Yang (SFC:ALN489) Xia 夏阳 RO 1 Rep 1 2006-03 2015-10
Choo Guan Yeoh 楊紫源 RO 1 Rep 1, 2 2006-07 2020-04
Chi Won Yoon RO 1, 2, 4 Rep 1, 2, 4, 5, 6, 9 Pre-2003 2016-07
Jason Wah Chiu Yu 余華超 RO 1, 4, 6, 9 Rep 1, 2 Pre-2003 2011-06
Nicole Shuk Kam Yuen 袁淑琴 RO 1, 4, 6, 9 Rep 1, 4 Pre-2003 2012-03
Martin Yule RO 4 Rep 4 2016-02 2025-05
Rachit Raj Rep 1, 2 2015-04 2019-08
Ranjana Rep 1 2020-06 Present
Micaela Gabrielle Abaquita Rep 4 2024-05 2025-11
Raja Aulia Rezza Abdalla Rep 4 2015-01 2015-02
Hugh Idris Abdullah Rep 1 2006-10 2010-05
Michael James Abou-Seif Rep 1, 2 2022-10 Present
Randy I Abrams Rep 4 2024-01 Present
Masamichi Adachi Rep 4 2019-11 2025-12
Garth Victor Adamini Rep 1 2014-10 2014-10
Richard Paul Adcock Rep 4 2010-09 2014-10
Adrian Joezer Adiisarta Rep 4 2014-01 2016-05
Syed Ari Azhar Bin Syed Mohamed Adlan Rep 1, 2 2010-05 2012-02
Neil L Advani Rep 1, 2 2011-07 2012-02
Kavish Javid Affendi Rep 1, 2 2026-04 2026-04
Showing 1–100 of 2708

Other Hong Kong SFC firms with overlapping regulated activities

China International Capital Corporation Hong Kong Securities Limited

CE AEN894 · 1661 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 · 836 staff · 3 shared activity types · 華泰金融控股(香港)有限公司

Nomura International (Hong Kong) Limited

CE AAF742 · 544 staff · 3 shared activity types · 野村國際(香港)有限公司

Citigroup Global Markets Asia Limited

CE AAA137 · 465 staff · 3 shared activity types · 花旗環球金融亞洲有限公司

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

China Merchants Securities (HK) Co., Limited

CE AAI650 · 394 staff · 3 shared activity types · 招商證券(香港)有限公司

Guotai Junan Securities (Hong Kong) Limited

CE ABY236 · 368 staff · 3 shared activity types · 國泰君安證券(香港)有限公司

BOCI Securities Limited

CE AAC298 · 320 staff · 3 shared activity types · 中銀國際證券有限公司

Related