Neuberger Berman Asia Limited
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Neuberger Berman Asia Limited, a Hong Kong-based licensed corporation with CE reference AQN831. Currently licensed for regulated activity type(s) 1 — Dealing in securities; 4 — Advising on securities; 9 — Asset management. Current licensed staff on file: 39 (total recorded over time: 140). Earliest licence on file: 2008-03-13.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Registered address
20/F, Jardine House, 1 Connaught Place, Central
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | 2008-03-13 | present |
| Type 4 — Advising on securities | 2008-03-13 | present |
| Type 9 — Asset management | 2008-03-13 | present |
Licensed staff (all-time) (140)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Yan Taw Boon 溫演道 | RO 1, 4, 9 Rep 1, 4, 9 | 2013-11 | Present |
| Pui Yan Cheng 鄭珮欣 | RO 1, 4 Rep 1, 4 | 2014-06 | Present |
| Antony James Edwards | RO 1, 4, 9 Rep 1, 4, 9 | 2009-10 | 2011-05 |
| Jason Christopher Davenant Henchman | RO 1, 4, 9 | 2010-05 | 2024-07 |
| Nicholas John Francis Hoar | RO 1, 4, 9 Rep 1, 4, 9 | 2011-08 | 2022-07 |
| Alvin Joyue Hui 許祖裕 | RO 1, 4, 9 | 2024-06 | Present |
| Mang Tak Kwang 鄺孟德 | RO 1, 9 Rep 1, 9 | 2014-07 | 2025-01 |
| Helen (SFC:AOP097) Leung 梁浩雯 | RO 1, 4, 9 Rep 1, 4, 9 | 2008-04 | 2010-05 |
| Patrick Song Liu | RO 1, 4, 9 Rep 1, 4, 9 | 2017-05 | Present |
| Christopher Reid Manning | RO 1, 4, 9 | 2008-03 | 2009-03 |
| Ria Therese Nova | RO 1, 4, 9 Rep 1, 4, 9 | 2008-04 | 2014-12 |
| Bradley Okita | RO 1, 4, 9 Rep 1, 4, 9 | 2008-03 | 2017-04 |
| Patrick Cheng Ru | RO 1, 4, 9 Rep 1, 4, 9 | 2019-07 | 2023-03 |
| Yulin Yao 姚毓林 | RO 1, 4, 9 Rep 1, 4, 9 | 2008-04 | 2017-04 |
| Bin (SFC:BJL677) Yu 余斌 | RO 1, 4, 9 Rep 1, 4, 9 | 2017-04 | 2019-06 |
| Hui Ying Bao 鮑慧穎 | Rep 1, 4 | 2011-11 | 2015-06 |
| David John Bloomfield | Rep 1, 4 | 2013-01 | 2013-10 |
| Christy Wai Nga Chan 陳慧雅 | Rep 1, 4 | 2013-09 | 2020-05 |
| Kwan Ho Chan 陳鈞浩 | Rep 1, 4 | 2014-06 | 2022-12 |
| Pui Kwan (SFC:ALF667) Chan 陳佩君 | Rep 1, 4, 9 | 2014-06 | Present |
| Sai Yiu Chan 陳世耀 | Rep 1, 4, 9 | 2020-02 | 2022-02 |
| Chih Yang Chen 陳志陽 | Rep 1, 4, 9 | 2015-06 | Present |
| Ka Kin Cheng 鄭家健 | Rep 1, 4 | 2025-06 | Present |
| Cheuk Fung Cheung 張卓峰 | Rep 1, 4 | 2024-12 | Present |
| Chun Ho Cheung 張振豪 | Rep 1, 4 | 2024-08 | 2025-11 |
| Ching Yuan (SFC:BEG006) Chiu 邱敬媛 | Rep 1, 4 | 2016-08 | 2017-10 |
| Hiu Lam Emily Chiu 招曉霖 | Rep 1, 4 | 2022-03 | Present |
| Man Yung Chiu 趙文用 | Rep 1, 4 | 2017-06 | 2018-12 |
| Jeff Long Yin Cho 曹朗賢 | Rep 1, 4 | 2016-10 | Present |
| Sue Ching Chong 張素菁 | Rep 1, 4, 9 | 2008-04 | 2014-07 |
| Kwun Chung Chow 周冠仲 | Rep 1, 4 | 2021-06 | Present |
| Tak Yen Chow 周得賢 | Rep 1, 4, 9 | 2008-12 | 2011-08 |
| Elina Elaine Yee Ling Choy 蔡懿翎 | Rep 1, 4 | 2014-02 | 2017-02 |
| Tak Wai Chung 鍾德偉 | Rep 1, 4 | 2008-12 | 2009-02 |
| Yanyi Du 杜延奕 | Rep 1, 4, 9 | 2012-09 | 2017-04 |
| Benjamin Guillaume Marie Dutray | Rep 1, 4, 9 | 2008-04 | 2008-06 |
| Michael John Dyer | Rep 1, 4 | 2015-05 | 2019-04 |
| Yilin Feng 馮伊琳 | Rep 1, 4 | 2021-02 | Present |
| Sin Tung Fong 方善彤 | Rep 1, 4 | 2025-08 | Present |
| Hiroyuki Fukuda | Rep 1, 4 | 2025-04 | 2025-04 |
| Ying Gan 干迎 | Rep 4, 9 | 2011-10 | 2017-04 |
| Xinyu Gao 高新宇 | Rep 4, 9 | 2012-02 | 2017-04 |
| Christopher Michael Adrian Gunns | Rep 1, 4, 9 | 2010-02 | 2011-06 |
| Ian Stewart Haas | Rep 4 | 2019-01 | 2019-01 |
| Lei Hao 郝雷 | Rep 1, 4 | 2008-12 | 2009-06 |
| Lydia Zhuotao Hao 郝卓韜 | Rep 1, 4, 9 | 2017-09 | 2021-03 |
| Dominic Pui Fung Ho 何沛峰 | Rep 1, 4, 9 | 2011-05 | 2011-07 |
| Wing Na Ho 何穎娜 | Rep 1, 4 | 2017-10 | Present |
| Thomas Markus Holzherr | Rep 1, 4, 9 | 2012-06 | 2025-01 |
| Yik Sin Hui 許亦先 | Rep 1, 4 | 2017-02 | Present |
| Cheuk Ting Hung 洪綽廷 | Rep 1, 4 | 2020-04 | 2024-06 |
| Natalie Kuen Ning Ie 余堃寧 | Rep 1, 4 | 2019-05 | 2021-07 |
| Fredrick Roy Ingham | Rep 1, 4, 9 | 2008-04 | 2012-03 |
| Bo (SFC:AWD081) Jiang 姜博 | Rep 1, 4, 9 | 2012-05 | 2015-07 |
| Wei Ke 柯偉 | Rep 4, 9 | 2013-01 | 2017-04 |
| Zicong Ke 柯子聰 | Rep 1, 4, 9 | 2021-06 | 2022-07 |
| Jeong Yoon Kim 金楨倫 | Rep 1 | 2019-06 | 2021-05 |
| Himchan Ko | Rep 1, 4 | 2025-02 | 2025-03 |
| Herbert Wing Fung Kwan | Rep 1, 4 | 2008-12 | 2009-03 |
| Roy Shun Keung Kwok 郭舜強 | Rep 1, 4, 9 | 2008-04 | 2008-10 |
| Andrew Kai-Jie Lai 賴凱杰 | Rep 1, 4, 9 | 2018-11 | Present |
| Linda Lam Lam 林霖 | Rep 1, 4 | 2015-03 | Present |
| Vivian Wai Man Lau 劉慧敏 | Rep 1, 4, 9 | 2021-12 | Present |
| Wing Chung (SFC:ANG393) Lau 劉穎聰 | Rep 1, 4, 9 | 2008-04 | 2011-03 |
| Ka Chun Law 羅嘉俊 | Rep 1, 4 | 2022-12 | Present |
| Frank Kuo Wei Lee 李国威 | Rep 1, 9 | 2015-10 | 2017-04 |
| Zoe Sze Yan Leung 梁司恩 | Rep 1 | 2016-04 | 2022-05 |
| Cherry Sin King Li 李倩琼 | Rep 1, 4, 9 | 2008-04 | 2008-07 |
| Jingyi (SFC:BGH363) Li 李婧怡 | Rep 1, 4, 9 | 2020-05 | Present |
| Sixuan Li 李斯璇 | Rep 1, 4 | 2008-12 | 2009-05 |
| Michael Ben Lin | Rep 1, 4 | 2014-02 | 2015-03 |
| Xiaohan Lin 林晓晗 | Rep 1, 4 | 2017-01 | 2019-03 |
| Du Liu 劉都 | Rep 4, 9 | 2013-09 | 2017-04 |
| Xinzhu Liu 劉馨竹 | Rep 1, 4, 9 | 2022-12 | Present |
| Jonathan Ceri Lloyd | Rep 1 | 2010-04 | 2010-06 |
| Wai Ying Louie 雷慧瑩 | Rep 1, 4, 9 | 2008-07 | 2012-09 |
| Tsz Yan (SFC:BBW116) Luk 陸梓欣 | Rep 1, 4 | 2013-09 | 2017-06 |
| Chrisie Wai Sze Ma 馬慧詩 | Rep 1, 4, 9 | 2009-09 | 2011-06 |
| Luke Timothy John Mason | Rep 1, 4 | 2024-11 | 2024-11 |
| Danielle Marie Mc Grath | Rep 1, 4, 9 | 2011-12 | 2016-06 |
| Ning Meng 孟宁 | Rep 1, 4, 9 | 2023-02 | 2024-08 |
| Gang Miao 苗剛 | Rep 1, 4, 9 | 2017-04 | 2019-06 |
| Richard Sol Nackenson | Rep 1, 4 | 2013-05 | 2013-06 |
| Zain Naqi | Rep 1, 4 | 2024-09 | 2026-04 |
| Hong Hong Neo | Rep 1, 4 | 2025-04 | Present |
| Gabriel Jun Peng Ng 黃俊鵬 | Rep 1, 4, 9 | 2019-01 | 2024-06 |
| Hoi Lam Ng 吳凱琳 | Rep 1 | 2017-10 | 2021-05 |
| Hoi Yin Ng 吳凱燕 | Rep 1, 4 | 2015-03 | Present |
| Siu Chung Ngai 倪兆宗 | Rep 1, 4, 9 | 2021-12 | 2025-02 |
| Paul Desmond O'Halloran | Rep 1, 4, 9 | 2009-07 | 2010-08 |
| Calliea Pan | Rep 1, 4, 9 | 2011-03 | 2013-10 |
| Yi Pan 潘禕 | Rep 1, 4, 9 | 2017-11 | Present |
| Maggie Man Yee Pang 彭雯兒 | Rep 1, 4 | 2013-05 | Present |
| Soo Bin Park | Rep 1, 4 | 2023-08 | Present |
| Soo Jin Park | Rep 1, 4 | 2019-01 | 2022-11 |
| Prashant Periwal | Rep 1, 4, 9 | 2025-02 | 2025-04 |
| Tristram Coffin Perkins | Rep 1, 4 | 2025-02 | 2025-03 |
| Samuel Noah Porat | Rep 1 | 2015-01 | 2015-01 |
| Amit Sachdeva | Rep 1, 4, 9 | 2016-08 | 2018-08 |
| Filippo Santilli | Rep 1, 4, 9 | 2008-04 | 2008-10 |
Showing 1–100 of 140
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