SMBC Nikko Securities (Hong Kong) Limited

日興證券(香港)有限公司
CE No. BWU838 Licensed corporation Active

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for SMBC Nikko Securities (Hong Kong) Limited (日興證券(香港)有限公司), a Hong Kong-based licensed corporation with CE reference BWU838. Currently licensed for regulated activity type(s) 1 — Dealing in securities; 2 — Dealing in futures contracts; 4 — Advising on securities; 5 — Advising on futures contracts; 6 — Advising on corporate finance. Current licensed staff on file: 162 (total recorded over time: 381). Earliest licence on file: 2012-07-20.

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

Registered address

8/F, One International Finance Centre, 1 Harbour View Street, Central

Licence history

ActivityFromTo
Type 1 — Dealing in securities present present
Type 1 — Dealing in securities 2026-03-19 present
Type 2 — Dealing in futures contracts 2017-11-07 present
Type 2 — Dealing in futures contracts 2026-03-19 present
Type 4 — Advising on securities present present
Type 4 — Advising on securities 2026-03-19 present
Type 5 — Advising on futures contracts 2017-11-07 present
Type 5 — Advising on futures contracts 2026-03-19 present
Type 6 — Advising on corporate finance 2012-07-20 present
Type 6 — Advising on corporate finance 2026-03-19 present
Type 6 — Advising on corporate finance present 2003-06-24
Type 9 — Asset management present 2010-10-27

Licensed staff (all-time) (381)
Active on date

Name Activities First licensed To
Yushi Araki 荒木裕史 RO 1, 2, 4, 5 2025-06 Present
Chi Leong Chan 陳智亮 RO 1, 4, 9 2006-05 2010-10
Dennis Kwok Fung Chan 陳國峰 RO 1, 4, 6 Rep 1, 4, 6 2014-01 2022-04
Samuel Sek Wei Chan 陳惜偉 RO 1, 4, 6 Rep 1, 4, 6 2021-04 2025-01
Wai Lung (SFC:AAC760) Chan 陳偉隆 RO 1, 4 Rep 1, 4, 6, 9 Pre-2003 2018-01
Ioi Tim Chang 曾銳添 RO 1, 4 Rep 1, 4 2014-10 2018-07
Anderson Chun Fat Choi 蔡俊發 RO 1, 4 Rep 1, 2, 4, 5 2011-06 2018-07
Allan Tse Hang Fok 霍子恒 RO 4, 6 Rep 1, 4 2011-03 2021-07
Shunsuke Fujii 藤井俊介 RO 1, 2, 4, 5 Rep 1 2024-01 Present
Hiroyuki Fukushima RO 1, 2, 4, 5 Rep 1, 4 2016-04 2019-06
Taketora Furuta 古田竹虎 RO 1, 2, 4, 5 Rep 1 2018-04 2023-03
Hironori Hattori RO 1, 2, 4, 5, 6 2024-05 Present
Haotian (SFC:BFN673) He 何昊天 RO 1, 4, 6 Rep 1, 4, 6 2021-07 Present
Yancheng Hong 洪研程 RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2021-03 Present
William Wai Lun Ip 葉偉倫 RO 1, 4, 6 2012-07 2020-10
Janice Ho Yee Iu 姚皓儀 RO 1, 4, 6 Rep 1, 4, 6 2022-05 2024-07
Mohammad Abdullah Sahir Bin Jung RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2021-10 2023-01
Akira Koga 古賀彰 RO 1, 4, 6 2011-01 2013-03
Katsuyoshi Kondo 近藤勝義 RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2020-01 2022-05
Li Ern Joy Kwek 郭麗恩 RO 1, 4, 6 Rep 1, 4, 6 2025-10 Present
May Mei Kam Lam 林美金 RO 1, 4, 6, 9 Rep 1, 4 Pre-2003 2011-03
Ta-Wen Lu 陸大文 RO 1, 4, 9 2008-09 2008-11
Yushi Makita RO 1, 2 2026-03 Present
Masashi Maruyama RO 1, 4 2011-01 2012-10
Takeshi Masuda 增田武志 RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2022-04 2025-02
Tatsumi Mizutani 水谷竜美 RO 1, 2, 4, 5, 6 2017-11 2018-05
Kazuhito Naka 那珂和人 RO 1, 2, 4, 5 Rep 1, 4 2014-03 2026-03
Masashi Nakamura 中村雅史 RO 1, 4, 6 Rep 1, 4, 6 2019-11 2022-08
Kenji Noguchi RO 1, 4, 6 2012-07 2020-04
Yoichi Ohashi RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2023-07 2025-11
David Juyoung Pong RO 1, 4, 6 Rep 1, 4, 6 2021-03 2023-11
Minoru Sakamoto RO 1, 4, 6 Rep 1, 4, 6 2019-06 2022-05
Machiko Sampson RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2011-04 Present
Toshiya Sasagawa RO 1, 4, 6 Rep 1, 4, 6 2022-04 2022-09
Hiromi Sato 佐藤弘美 RO 1, 2, 4, 5, 6, 9 Rep 1, 2, 4, 5, 6 2007-01 2024-06
Arisa Shimamoto RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2015-11 Present
Ruby Pui Kay Siu 蕭珮琪 RO 1 Rep 1, 4 2014-06 2018-10
Rong Song 宋嵘 RO 1, 4, 6 Rep 1, 4, 6 2021-05 Present
Hitoshi Tamura 田村仁志 RO 1, 4 2012-06 2016-06
Wai Hung (SFC:ADI418) Tang 鄧偉雄 RO 1, 4 Rep 1, 4, 6 2015-09 2021-03
Leo Tong 唐震宇 RO 1, 4 Rep 6 2021-01 2023-11
Shinsuke Ushijima 牛島真丞 RO 1, 4 2012-12 2014-03
Shinichiro Yamagami RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2018-01 2020-06
Hideki Yamamoto 山本秀樹 RO 1, 4 Rep 1, 4 2011-07 2019-07
Katsuhiko Yasui 安井克彥 RO 1, 2, 4, 5, 6 2018-06 2020-07
Mingyuan Ye 叶鳴遠 RO 1, 4 Rep 1, 4 2017-11 2020-10
Shui Key Yip 葉紹基 RO 1, 4, 9 2004-08 2005-11
Tony Ho Tung Yue 余浩東 RO 1, 4, 6 Rep 1, 6 2022-09 Present
Man Yan Yuen 袁文茵 RO 1, 4, 6, 9 Rep 1, 4 Pre-2003 2011-03
Salim Zaman RO 1, 2, 4, 5 Rep 1, 2, 4, 5 2025-06 Present
Qiangang Zhang 張乾剛 RO 1, 4 2011-06 2021-10
Geoffrey Li Zhao 趙力 RO 1, 4, 6 Rep 1, 4, 6 2021-07 Present
Hiromi Abe Rep 4 2011-12 2012-09
Kazuyuki Abe 阿部一幸 Rep 1, 4, 6 2025-03 Present
Naoki Abe 阿部直樹 Rep 1, 4, 6 2026-01 Present
Takahiro Abe 阿部考浩 Rep 1 2011-08 2012-03
Chafik Amira Rep 1, 4, 6 2024-11 Present
Sang Beom An Rep 1, 4 2020-07 2021-08
Takashi Anada 穴田孝史 Rep 1, 4 2012-11 2013-10
Parth Arya Rep 1, 4, 6 2017-12 2021-03
Hiroki Asano Rep 1, 4, 6 2025-03 2026-01
Koki Ato 阿藤康貴 Rep 1, 4, 6 2024-07 Present
James William Bainbridge Rep 1, 4 2017-10 2026-03
Takuma Bando Rep 1, 4, 6 2025-08 2025-12
Carl Thomas Berrisford Rep 1 2004-03 2004-05
Sunil Sudhakar Bhagavath Rep 1, 2, 4, 5 2014-07 2025-01
Qifang Cai 蔡企放 Rep 1, 2 2026-03 Present
Thomas Carlone Rep 1, 4 2022-06 Present
Nicholas Carrigan Rep 1 2014-06 2018-08
Louis Min Cha 車珉 Rep 1, 4 2022-04 2025-06
Ching Han Chan 陳靜嫻 Rep 1, 4 2016-01 Present
Maureen Wai Ling Chan 陳慧玲 Rep 1, 4 2004-04 2011-03
Soo Sum Chan 陳素心 Rep 1 2011-01 2013-09
Ying Tung Chan 陳映彤 Rep 1, 4 2021-01 2023-09
Wei (SFC:BRO909) Chen 陳維 Rep 1, 4, 6 2021-08 2021-11
Yanjie Chen 陳燕杰 Rep 1, 4 2019-11 2023-12
Yu-Lun Chen 陳昱綸 Rep 1, 2, 4, 5 2020-03 2022-01
Yuan Chen 陳遠 Rep 1, 4 2006-04 2006-04
Zechun Chen 陳澤春 Rep 1, 4 2022-01 2023-09
Keith Teng Fong Cheng 鄭廷峰 Rep 1, 4 2011-05 2011-06
Gene Young Cheon Rep 1, 2, 4, 5 2021-04 2023-12
Frances Cheung 張淑嫻 Rep 4 2003-07 2005-10
Warren Yui Kai Cheung 張睿佳 Rep 1 2011-04 2011-11
Taejung Cho Rep 1, 4 2017-08 2018-12
Kai Ming Gary Chow 周啟明 Rep 1, 4, 6 2025-09 Present
Neill Alexander Christie Rep 1, 4 2024-08 Present
Hoh Chung Rep 1, 4, 6 2015-08 2022-04
Ka Yin Chung 鍾嘉彥 Rep 1, 4, 6 2013-05 2015-08
Thomas Yat Kit Chung 鍾逸傑 Rep 1, 2, 4, 5 2018-05 2020-12
Michael John Colebatch Rep 1, 2, 4, 5 2022-02 2026-02
Geoffrey John Cook Rep 1 2017-01 2017-07
Christopher Deleon Cornute Rep 1, 4 2025-01 2026-01
Marcelo Hector Delmar Rep 1, 4, 6 2024-11 2024-11
Miki den 田未来 Rep 4 2025-04 Present
King Wah Foo 符敬華 Rep 1, 4, 6, 9 Pre-2003 2004-06
Xiamin Fu 符夏旻 Rep 1, 4, 6 2021-06 2023-11
Junichi Fujimoto Rep 1, 2, 4, 5 2023-05 Present
Koa Fujisaki 藤崎小亞 Rep 1, 2, 4, 5 2017-07 2021-05
Kohei Fujisawa Rep 1, 4, 6 2025-10 Present
Masahiro Fujisawa 藤澤正博 Rep 1, 4, 6 2025-05 Present
Showing 1–100 of 381

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