Oppenheimer Investments Asia Limited

凱萬亞洲有限公司

CE No. AUG613 Licensed corporation Active

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Oppenheimer Investments Asia Limited (凱萬亞洲有限公司), a Hong Kong-based licensed corporation with CE reference AUG613. Currently licensed for regulated activity type(s) 1 — Dealing in securities; 4 — Advising on securities. Current licensed staff on file: 6 (total recorded over time: 65). Earliest licence on file: 2010-02-12.

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

Registered address

Unit 1002 10/F, Henley Building, 5 Queen's Road Central

Licence history

Activity	From	To
Type 1 — Dealing in securities	2010-02-12	present
Type 4 — Advising on securities	2013-01-29	present
Type 6 — Advising on corporate finance	2010-02-12	2017-07-05

Licensed staff (all-time) (65)
Active on date

1 Dealing in securities 4 Advising on securities 6 Advising on corporate finance

RO only

Name	Activities	First licensed	To
Steven A Bernstein	RO 1, 6	2010-02	2011-11
Chetan Bhatia	RO 6	2010-02	2012-01
Timothy John Chillington	RO 1, 4 Rep 1, 4	2015-12	2025-06
Thomas Crawford Cook III	RO 1	2010-02	2010-09
Robin Adam Green	RO 1, 4, 6	2012-06	2017-08
Daniel William Holder	RO 1, 4 Rep 1	2012-10	2013-08
Charles Broadfoot Holmes	RO 1, 6	2010-02	2015-03
Bo-Kai Huang 黃柏愷	RO 1 Rep 1	2010-10	2014-06
Cliff Stevens Huang 黃子明	RO 1, 4 Rep 1, 4	2013-05	Present
Hyun Ho Kim 金賢鎬	RO 1, 4 Rep 1, 4	2014-01	Present
Binhan Li 李彬翰	RO 1, 4 Rep 1, 4	2017-10	Present
Chi Fai Ng 吳梓輝	RO 6	2010-02	2011-03
Matthew Ruddick	RO 4 Rep 1, 4	2013-03	2013-12
Mei Lun So 蘇美倫	RO 1 Rep 1, 4	2012-12	2014-01
Eugenio T. Tan 陳傳溜	RO 6	2013-09	2016-12
Kwonwoo Baek	Rep 1	2011-08	2012-10
Stephen Scott Bennett Junior	Rep 1, 4	2015-10	2024-01
Wenyuan Bu 卜文淵	Rep 6	2010-04	2011-10
Jenny Wai-Yee Chan	Rep 1, 6	2011-09	2012-07
Yan Ting Cheng 鄭恩婷	Rep 1	2012-09	2013-05
Pui Pui Cheung 張佩佩	Rep 1, 4	2024-07	2026-03
Po Yin Ching 程寶妍	Rep 1, 4	2015-08	2017-09
Kevin Cho 曹家榮	Rep 4, 6	2015-08	2016-12
Jerry Man Kit Chow 周文傑	Rep 1	2012-12	2013-05
Wan Chi Chu 朱韻芝	Rep 1	2014-06	2017-06
Michael Chung	Rep 1, 4	2012-04	Present
Keemesh Desai	Rep 1, 4	2014-08	2016-08
Noah Michael Farbstein	Rep 1, 6	2014-10	2015-09
Jonathan Chin Jer Gan	Rep 6	2011-08	2012-04
Jia (SFC:AOJ239) He 賀佳	Rep 1, 4	2014-03	2015-07
William Hugh Scobie Hornby	Rep 1, 4	2024-01	2025-11
Florence Wai Ying Hui 許慧瑩	Rep 6	2010-04	2011-03
Tsun Hay Hung 洪浚曦	Rep 1, 4	2017-11	2018-11
Satsuki Kaneko	Rep 1	2010-08	2011-02
Minja Evelyn Kang	Rep 1	2010-09	2011-05
Christopher John Knight	Rep 1	2016-08	2018-01
Lawrence Hung Jun Koo 顧弘潤	Rep 1, 4	2019-04	2020-02
Carlos Lai 黎嘉樂	Rep 6	2011-03	2012-04
Voon San Lai 賴汶山	Rep 1, 4	2012-10	2013-05
Caroline Man Har Lau 劉曼霞	Rep 1, 4	2010-08	2013-02
Lik Alaric Lau 劉力	Rep 1	2012-05	2012-11
Ya Tzu Liao 廖雅姿	Rep 1	2010-10	2011-10
Jie Ru Gillian Lim	Rep 1, 4	2013-03	2014-03
Michelle Chia-Hsing Lin	Rep 6	2010-04	2011-03
John Bennett Liptak	Rep 1, 4	2015-03	2015-05
Hanhua Liu 劉漢華	Rep 6	2010-03	2011-03
Cindy Xingyi Lu	Rep 1, 4	2023-01	Present
Matthieu Louis Fumiyochi Millet	Rep 1	2010-03	2011-08
Corinna Georgina Moeller	Rep 1	2013-02	2013-09
Neil Lionel Newman	Rep 1	2012-09	2013-02
Soon Yi Brian Ooi 黃順豫	Rep 1, 6	2015-12	2016-12
Dhawal Arvind Shah	Rep 1	2011-11	2016-06
Pauline Tong 唐寶琳	Rep 1, 4	2016-09	2017-03
Shuyi (SFC:AVQ913) Wang 王舒誼	Rep 1	2010-08	2011-04
Jia Wong 王嘉	Rep 6	2010-04	2012-04
Pak Chun Wong 王柏俊	Rep 1	2011-02	2012-08
Kyle Michael Wool	Rep 1	2011-03	2013-05
Dapeng Xu 徐大鵬	Rep 6	2010-05	2015-06
Wu-Kuang Yang 楊武光	Rep 1	2011-10	2012-03
Geoffrey Cheuk Fei Yau 邱卓飛	Rep 1	2017-06	Present
Calvin Ye	Rep 1, 4	2012-05	2014-01
Chung Leung Yip 葉仲量	Rep 1	2010-11	2012-04
Ka Hing Yiu 姚嘉興	Rep 6	2010-10	2010-10
Runan Yuan 袁茹楠	Rep 1, 4	2021-08	2022-09
Jintao Zhu 朱錦桃	Rep 1, 4	2018-03	2021-06