UBS SECURITIES ASIA LIMITED
SFC licensees
RO=Responsible Officer, Rep=Representative
| Name | Age in 2003 |
⚥ | Role | From | Until | |
|---|---|---|---|---|---|---|
| 1 | Anderson, Jonathan Gentile | M | Rep | 2003-05-30 | 2012-03-08 | |
| 2 | Anderson, Michael James (SFC:ABX611) | M | Rep | 2006-07-01 | ||
| 3 | Au, Eva Sin Yee 區善宜 | F | Rep | 2003-09-08 | 2008-10-04 | |
| 4 | Aw, Michael Soon Beng 胡順炳 | 28 | M | Rep | 2003-06-25 | |
| 5 | Barker, Angus Jack Rutherford | M | Rep | 2003-05-06 | 2003-07-03 | |
| 6 | Basham, Caroline Charlotte | F | Rep | 2004-08-17 | ||
| 7 | Baur, Markus Peter | M | Rep | 2003-06-25 | ||
| 8 | Beniwal, Saurabh | Rep | 2003-06-25 | |||
| 9 | Beshke, Clarence John | M | RO | 2010-10-15 | ||
| 10 | Bibby, Nicholas Paley | M | Rep | 2003-05-30 | ||
| 11 | Blackburn, Andrew James (SFC:AJE473) | M | Rep | 2003-09-29 | 2003-12-10 | |
| 12 | Boland, Frank Joseph | M | Rep | 2003-04-23 | ||
| 13 | Bradshaw, John (SFC:AHC328) | M | Rep | 2012-03-29 | ||
| 14 | Brown, Marcus William Ross | M | Rep | 2003-06-25 | ||
| 15 | Burnett, Peter William (SFC:ADX522) | M | RO | 2003-06-25 | ||
| 16 | Cavatoni, Joseph Roland | M | Rep | 2003-10-02 | 2009-04-20 | |
| 17 | Chan Yeung, Virginia Mo Bik 陳楊慕碧 | Rep | 2006-05-26 | |||
| 18 | Chan, Amy Yuen Han 陳婉嫻 | F | Rep | 2008-08-28 | ||
| 19 | Chan, Andy Kok Heng | Rep | 2010-05-20 | |||
| 20 | Chan, Mark Man Wai 陳孟為 | M | Rep | 2003-04-09 | ||
| 21 | Chan, Raymond Yiu Yue 陳耀宇 | M | Rep | 2003-06-25 | ||
| 22 | Chan, Vincent Cheong Wa 陳昌華 | M | Rep | 2004-04-29 | ||
| 23 | Chan, Winnie (SFC:AFD453) 陳韻妮 | F | Rep | 2003-06-25 | ||
| 24 | Chang, Walter 陳華德 | M | Rep | 2004-04-21 | ||
| 25 | Chee, Choon Wee 朱俊偉 | Rep | 2003-06-25 | |||
| 26 | Chee, Yuen Leng 朱宛玲 | Rep | 2004-02-01 | |||
| 27 | Chen, Xiao (SFC:AHD966) 陳霄 | Rep | 2003-06-25 | |||
| 28 | Chenaux-Repond, Lorenz Michael | M | Rep | 2003-06-25 | ||
| 29 | Cheng, James Vincent | M | Rep | 2004-04-29 | ||
| 30 | Cheng, Jimmy Min Tat 鄭勉達 | M | RO | 2005-05-20 | ||
| 31 | Cheng, Stephen Kwok Wai 鄭國偉 | 34 | M | Rep | 2005-04-27 | |
| 32 | Cheung, Ka Che 張家熾 | Rep | 2005-07-05 | |||
| 33 | Cheung, Ronald Yat Sau 張逸修 | M | Rep | 2016-07-19 | ||
| 34 | Chew, Jason Chiat Tsen 周傑昇 | M | Rep | 2003-06-25 | ||
| 35 | Chi, Alex Lai Hoi 朱禮開 | Rep | 2003-10-31 | 2004-03-08 | ||
| 36 | Chia, Tse Ern | Rep | 2004-03-26 | |||
| 37 | Chik, Kin Nang 戚健能 | Rep | 2008-03-15 | |||
| 38 | Chin, David Hung I 金弘毅 | 35 | M | RO | 2004-07-01 | |
| 39 | Chin, Michael Jaewuk | M | Rep | 2006-09-04 | ||
| 40 | Chin, Sara Taechung | F | Rep | 2003-06-25 | ||
| 41 | Chiu, Leo Yu Yuk 趙汝昱 | M | Rep | 2003-06-25 | ||
| 42 | Chiu, Yuk Ha | Rep | 2003-08-19 | 2007-03-01 | ||
| 43 | Chong, Kian Shing 張建成 | Rep | 2003-06-25 | |||
| 44 | Chow, Siu Han 周笑嫻 | Rep | 2003-06-25 | |||
| 45 | Chu, Danny Wai Kit 朱偉傑 | Rep | 2006-09-02 | |||
| 46 | Chu, Pierre Wang Chung 朱宏中 | M | Rep | 2003-06-25 | ||
| 47 | Chung, Melanie Man Ki 鍾文琦 | F | Rep | 2003-06-25 | ||
| 48 | Chung, Rex Richard Kyuchang | M | Rep | 2003-06-25 | ||
| 49 | Chung, Suk Moon 鄭碩紋 | Rep | 2004-06-03 | |||
| 50 | Cin, Chang Sik | Rep | 2018-12-29 | |||
| 51 | Clifford, Timothy Edward | M | Rep | 2004-08-07 | ||
| 52 | Coffeng, John Martinus (SFC:ADJ820) | M | Rep | 2010-09-06 | ||
| 53 | Combalot, Laurent Benoit Georges | M | Rep | 2009-05-06 | ||
| 54 | Cox, Carrie Bigelow | F | Rep | 2004-04-15 | ||
| 55 | Debow, Sean Herbert 狄寶生 | M | Rep | 2005-03-02 | ||
| 56 | Ding, Yibing 丁一賓 | Rep | 2004-07-01 | |||
| 57 | Dong, William Chen | M | Rep | 2003-05-09 | 2004-02-24 | |
| 58 | Dowie, Mark Peter Louden | 42 | M | RO | 2004-04-01 | |
| 59 | Easterbrook, Trevor Stephen | M | Rep | 2004-02-23 | ||
| 60 | Fang, Dongming 房東明 | Rep | 2007-12-08 | |||
| 61 | Fang, Sean Sung Ho 方頌和 | 35 | M | Rep | 2003-06-25 | |
| 62 | Fisher, Jocelyn Howard | M | Rep | 2004-03-15 | ||
| 63 | Fok, Glenn 霍經麟 | 46 | M | Rep | 2003-06-25 | |
| 64 | Fok, Ronald King Man 霍敬文 | 26 | M | Rep | 2018-05-04 | |
| 65 | Gaiser, Florian | Rep | 2004-05-17 | |||
| 66 | Gaw, Christina 吳燕安 | 31 | F | Rep | 2008-06-14 | |
| 67 | Ghag, Arvinderpal | Rep | 2004-04-27 | |||
| 68 | Gooding, Nial Dennis Henry 劉國誠 | 44 | M | Rep | 2010-03-19 | |
| 69 | Gu, Huaiyu 谷懷雨 | Rep | 2003-06-25 | |||
| 70 | He, Di 何迪 | 55 | M | Rep | 2003-06-25 | |
| 71 | Henley, Robert Alexander | M | Rep | 2006-04-01 | ||
| 72 | Ho, Beatrice Lap Sze 何立思 | F | Rep | 2004-04-23 | ||
| 73 | Ho, Diana Pui Kwan 何佩君 | F | Rep | 2011-10-18 | ||
| 74 | Ho, Kwok Chung (SFC:AAB905) 何國仲 | Rep | 2008-05-07 | |||
| 75 | Ho, Stanley Yaun 何仁 | M | Rep | 2003-06-25 | ||
| 76 | Ho, Tat Shing 何達成 | Rep | 2003-08-21 | |||
| 77 | Ho, Tsz Leung 何子樑 | Rep | 2003-09-02 | 2018-06-05 | ||
| 78 | Ho, William Wai Yin 何偉賢 | M | Rep | 2004-04-14 | ||
| 79 | Ho, Yuk (SFC:AJC804) 何旭 | Rep | 2003-08-06 | 2006-03-03 | ||
| 80 | Holland, John Michael Morgan | 40 | M | RO | 2003-11-11 | |
| 81 | Hoong, Chris Cheong Thard 孔祥達 | 35 | M | Rep | 2003-05-15 | |
| 82 | Hosie, Neil Cameron | M | Rep | 2004-05-28 | ||
| 83 | Houssian, Iven | Rep | 2004-07-06 | |||
| 84 | Hsu, Karen Chia Lin 徐嘉琳 | F | Rep | 2004-02-23 | ||
| 85 | Hu, Joy Lan Ya 胡嵐雅 | Rep | 2003-09-30 | 2009-04-15 | ||
| 86 | Hui, Alice Suk Fong 許淑芳 | F | Rep | 2007-01-25 | ||
| 87 | Hung, Gary Lok Ming 熊洛銘 | M | Rep | 2006-03-04 | ||
| 88 | Hunt, Christopher James Andrews | M | Rep | 2011-07-27 | ||
| 89 | Jackamo Ii, Thomas Joseph | M | Rep | 2003-06-25 | ||
| 90 | Jacobson, John Brennan | M | Rep | 2003-09-02 | ||
| RO | 2003-09-02 | 2006-04-03 | ||||
| 91 | Jeong, Joseph Chu | M | Rep | 2003-07-29 | ||
| 92 | Jiang, Shan (SFC:AGE826) 姜山 | 32 | M | Rep | 2003-06-25 | |
| 93 | Johnson, Pekka David (SFC:ADL598) | M | Rep | 2005-03-21 | ||
| 94 | Johnston, Richard William | M | Rep | 2004-04-14 | ||
| 95 | Kandiah, Sutharshan | Rep | 2003-06-25 | |||
| 96 | Kang, Minja | Rep | 2004-02-02 | |||
| 97 | Khoo, Chiew Cheng 邱秋清 | Rep | 2006-04-21 | |||
| 98 | Kim, Su Mi (SFC:AEW312) 金秀美 | Rep | 2003-06-25 | |||
| 99 | Kim, Susan Eun | F | Rep | 2008-05-07 | ||
| 100 | Kuan, Shu Shin 關素馨 | Rep | 2004-03-12 | |||
| 101 | Kwan, Sing Yuen 關承遠 | Rep | ||||
| 102 | Kwik, Claudia Hwee Kim | F | Rep | 2003-06-25 | ||
| 103 | Lai, Paul Wai Tsun 賴維津 | M | Rep | 2004-07-01 | ||
| 104 | Lai, Wing Yi 黎詠儀 | Rep | 2003-05-30 | |||
| 105 | Lam, Cynthia Wan Yee 林蘊怡 | F | Rep | 2003-12-30 | 2005-09-03 | |
| 106 | Lam, Franklin Fan Keung 林奮強 | 43 | M | Rep | 2005-04-27 | |
| 107 | Lam, Hu Yang 林曉陽 | Rep | 2006-09-16 | |||
| 108 | Lam, Mo Yee 林慕怡 | Rep | 2003-06-25 | |||
| 109 | Lam, Vanessa Yuk Yee 林玉儀 | F | Rep | 2006-08-26 | ||
| 110 | Lau, Marcus Chi Chiu 劉志超 | M | Rep | 2006-06-08 | ||
| 111 | Lau, Patricia Yan Ki 劉恩琪 | 24 | F | Rep | 2003-06-25 | |
| 112 | Law, Wendy Wing Chi 羅穎芝 | F | Rep | 2005-06-13 | ||
| 113 | Lee, Chris C | Rep | 2003-07-29 | |||
| 114 | Lee, Christopher Fai Man 李輝敏 | 37 | M | Rep | 2010-03-22 | |
| 115 | Lee, Gene Jin-Won | Rep | 2003-06-25 | |||
| 116 | Lee, Hyun Jae (SFC:AHN694) 李賢宰 | Rep | 2007-04-19 | |||
| 117 | Lee, James (SFC:AHW505) | M | Rep | 2003-06-25 | ||
| 118 | Lee, Simon Chun Kit 李俊傑 | 27 | M | Rep | 2009-04-22 | |
| 119 | Lee, Won Jong | Rep | 2010-07-05 | |||
| 120 | Leong, Vui Ling 梁偉靈 | Rep | 2006-03-01 | |||
| 121 | Lepper, David Anthony (SFC:AGJ984) | M | Rep | 2008-07-16 | ||
| 122 | Leung, Derek Yuk Lun 梁旭麟 | M | Rep | 2003-06-25 | ||
| 123 | Leung, Mary Ka Yan 梁家恩 | F | Rep | 2003-06-25 | ||
| 124 | Liew, Yew Wah | Rep | 2004-04-28 | |||
| 125 | Lim, Bryan Patrick Hong Chin | M | Rep | 2003-06-25 | ||
| 126 | Lim, Meng Phong 林明鳳 | Rep | 2017-06-28 | |||
| 127 | Lo, Michael Sai Cheong 盧世昌 | M | Rep | 2003-11-25 | 2004-05-05 | |
| 128 | Look, Andrew 陸東 | 38 | M | Rep | 2007-07-05 | |
| 129 | Louie, Paul Kwok Yi 雷國怡 | M | Rep | 2005-07-19 | ||
| 130 | Lu, Edmund Lingjian 盧淩堅 | M | Rep | 2005-03-29 | ||
| 131 | Lu, Jia (SFC:AJD748) 路嘉 | Rep | 2003-09-16 | 2003-10-17 | ||
| 132 | Luk, Terence (SFC:AGI503) 陸凱賢 | M | Rep | 2006-01-28 | ||
| 133 | Ma, Kwun Yea 馬君意 | Rep | 2006-02-28 | |||
| 134 | Mackinnon, Charles Harold Hugh | M | Rep | 2003-04-10 | ||
| 135 | McLennan, Ian Richard James | 38 | M | Rep | 2004-01-02 | |
| 136 | McQueen, Lee Michael | M | Rep | 2004-01-09 | ||
| 137 | Melwani, Rajesh Ramesh (SFC:AEU252) | M | Rep | 2010-01-26 | ||
| 138 | Mizoguchi, Hironori | Rep | 2004-03-12 | |||
| 139 | Mou, Newman Siu Bun 繆肇彬 | Rep | 2006-06-15 | |||
| 140 | Mukhopadhyay, Ajinkya | Rep | 2003-06-25 | |||
| 141 | Ng, Diana Tze Chiew 黃紫秋 | F | Rep | 2004-10-20 | ||
| 142 | Ng, Hooi Chong 黃慧聰 | 35 | M | Rep | 2003-04-30 | |
| 143 | Ng, Siok Leng (SFC:AFM257) 黃淑玲 | Rep | 2003-10-14 | 2008-05-14 | ||
| 144 | Norris, Richard (SFC:AHG719) | M | Rep | 2004-05-18 | ||
| 145 | Oertli, Michael | M | RO | 2004-04-22 | ||
| 146 | Ollerenshaw, Simon Gerald | M | Rep | 2003-06-25 | ||
| 147 | Orgill, Bradley Wayne | M | RO | 2005-03-24 | ||
| 148 | Pang, Kenneth Kwok Kit 彭國傑 | M | Rep | 2009-04-08 | ||
| 149 | Park, Min | Rep | 2004-07-29 | |||
| 150 | Parthasarathy, Raja | Rep | 2003-06-25 | |||
| 151 | Patel, Jinesh Kiran | Rep | 2006-06-24 | |||
| 152 | Pecot III, Charles Matthew | 43 | M | Rep | 2005-04-27 | |
| 153 | Pfatteicher, Peter Alexander | M | Rep | 2003-05-02 | ||
| 154 | Pickstone, Julian Charles (SFC:AFT961) | M | Rep | 2007-09-03 | ||
| 155 | Png, Chin Yee | Rep | 2003-06-25 | |||
| 156 | Po, Alice Wai Sze 保慧思 | F | Rep | 2005-08-18 | ||
| 157 | Poon, Ada Ho Yan 潘可欣 | F | Rep | 2004-07-01 | ||
| 158 | Poon, Jenny 潘珍妮 | F | Rep | 2003-05-24 | ||
| 159 | Poon, Ming Pui 潘明培 | M | RO | 2005-03-30 | ||
| 160 | Price, Edmund Hugh Owain | 34 | M | Rep | 2003-06-25 | |
| 161 | Qiu, Ruofei 邱若非 | Rep | 2003-06-25 | |||
| 162 | Rabinowitz, David | M | Rep | 2010-09-06 | ||
| 163 | Raha, Arup | Rep | 2003-04-11 | |||
| 164 | Ramanathan, Badrinath | Rep | 2003-06-25 | |||
| 165 | Rankin, Robert John | 40 | M | Rep | 2003-06-25 | |
| 166 | Redbourn, Paul Robert (SFC:AFQ906) | M | Rep | 2010-10-15 | ||
| 167 | Robertson, James Hewitt | M | Rep | 2003-04-30 | ||
| 168 | Robertson, Simon Montague | M | Rep | 2010-04-09 | ||
| 169 | Rogers, Simon Andrew | M | Rep | 2003-09-05 | ||
| 170 | Ross, Timothy Wakefield | M | Rep | 2005-05-03 | ||
| 171 | Roth, Gunther James | M | Rep | 2003-06-25 | ||
| 172 | Sanchez, Marlon Mikhail | M | Rep | 2006-05-16 | ||
| 173 | Saunders, Scott Antony | M | RO | 2005-05-20 | ||
| 174 | Saxvik, Eric Bradley | M | Rep | 2012-04-13 | ||
| 175 | Shah, Dimple (SFC:AIC117) | Rep | 2003-04-30 | |||
| 176 | Shieh, Ingrid | Rep | 2004-04-29 | |||
| 177 | Sim, Colin Ching Wern | M | Rep | 2007-06-14 | ||
| 178 | Sinclair, Andrew Mark (SFC:AGP545) | M | Rep | 2004-04-18 | ||
| 179 | Siu, Madeline Kor Man 蕭可敏 | F | Rep | 2003-06-25 | ||
| 180 | Smith, Michael Thomas (SFC:AGL937) | M | Rep | 2003-06-25 | ||
| 181 | Sohn, Bill Eun-Seok | M | Rep | 2007-01-23 | ||
| 182 | Spence, James Barclay | M | Rep | 2004-04-02 | ||
| 183 | Stutsman, Andrea Jean | F | Rep | 2006-05-01 | ||
| 184 | Suen, Benny Hung Kit 孫雄傑 | M | Rep | 2009-04-22 | ||
| 185 | Sum, Hing Man 岑慶文 | Rep | 2014-04-11 | |||
| 186 | Sun, Lucy Shin Su 孫心樹 | F | Rep | 2003-05-15 | 2005-06-15 | |
| 187 | Sun, Steven John 孫常勝 | 46 | M | Rep | 2003-06-25 | |
| 188 | Tan, Lien Seng | Rep | 2005-03-21 | |||
| 189 | Tan, Nicholas Chye Seng | 30 | M | Rep | 2004-05-31 | |
| 190 | Tan, Yew Boon 陳友文 | Rep | 2004-05-04 | |||
| 191 | Tay, Marcus Noel Chien Pheng | M | Rep | 2003-06-25 | ||
| 192 | Taylor, Christopher Michael (SFC:AEC940) | M | Rep | 2003-04-15 | ||
| 193 | Teh, Kihui | Rep | 2003-06-25 | |||
| 194 | Thomas, Rebecca Judith | F | Rep | 2004-05-13 | ||
| 195 | Tinker, Dylan Carlo | 35 | M | Rep | 2005-04-11 | |
| 196 | Tse, Jaff Ka Wai 謝家威 | Rep | 2003-04-10 | |||
| 197 | Tse, Shirley Sze Wan 謝詩韻 | F | Rep | 2009-11-30 | ||
| 198 | Tsui, Charles King 徐勁 | M | Rep | 2003-11-04 | ||
| 199 | Villanueva, Bryan Uy 蘇龍 | M | Rep | 2003-06-25 | ||
| 200 | Volet, Raphael | M | Rep | 2004-04-02 | ||
| 201 | Wadle, John Allen | M | Rep | 2009-04-07 | ||
| 202 | Wan, Li (SFC:AHD514) 萬里 | Rep | 2004-03-08 | |||
| 203 | Wan, Ming Sun 尹明山 | 30 | M | Rep | 2004-02-26 | |
| 204 | Wang, Ren (SFC:AIB127) 汪韌 | 31 | M | Rep | 2003-06-25 | |
| 205 | Ward, Rodney Gordon 賀利華 | 59 | M | RO | 2003-06-25 | |
| 206 | Wee, Liang Sin | Rep | 2003-05-30 | |||
| 207 | Wei, Amy Mei 魏薇 | F | Rep | 2003-06-25 | ||
| 208 | West, Colin Thomas | M | RO | 2003-06-25 | ||
| 209 | Williams, Mark Fraser | M | Rep | 2003-06-25 | ||
| 210 | Williams, Sian Elizabeth (SFC:ADT132) | F | Rep | 2004-05-28 | ||
| 211 | Wong, Constance 黃子欣 | F | Rep | 2008-05-24 | ||
| 212 | Wong, Eric Chun Yu 王震宇 | M | Rep | 2011-03-10 | ||
| 213 | Wong, Jenny Chieh Lu 王潔如 | F | Rep | 2006-06-17 | ||
| 214 | Wong, Kenneth Hong Kit 黃匡傑 | M | Rep | 2003-06-25 | ||
| 215 | Wong, Ronald Kwok Kit 黃國傑 | M | Rep | 2003-06-18 | ||
| 216 | Wong, Steven Siu Kee 黃紹基 | M | Rep | 2003-06-25 | ||
| 217 | Woodland, Emily Jane | F | Rep | 2003-10-14 | 2012-03-19 | |
| 218 | Wooldridge, Duncan Samuel | M | Rep | 2003-06-27 | 2017-06-10 | |
| 219 | Wu, Chi Wai (SFC:AIQ683) 胡志威 | Rep | 2011-10-24 | |||
| 220 | Wu, James Yun | M | Rep | 2009-05-13 | ||
| 221 | Wu, Samuel Shung Shan 鄔崇山 | M | Rep | 2003-06-25 | ||
| 222 | Xiao, Qing (SFC:AFE509) 肖清 | Rep | 2003-06-25 | |||
| 223 | Yang, Heidi Hoi Ti 楊凱蒂 | 33 | F | Rep | 2003-05-09 | 2004-07-06 |
| 224 | Yang, Kai (SFC:ADW509) 楊凱 | Rep | 2004-07-01 | |||
| 225 | Yang, Yaqi 楊亞琦 | Rep | 2003-06-25 | |||
| 226 | Yip, Shuk Ling 葉淑玲 | Rep | 2009-12-03 | |||
| 227 | Yoon, Benjamin Hyung | M | Rep | 2003-04-16 | ||
| 228 | Yoon, Chi Won | Rep | 2003-09-15 | |||
| RO | 2003-09-15 | 2005-06-09 | ||||
| 229 | Yu, Jason Wah Chiu 余華超 | M | RO | 2005-03-24 | ||
| 230 | Yu, Kok Leung 余國良 | Rep | 2006-03-12 | |||
| 231 | Yu, Ming Lai 余明麗 | Rep | 2003-06-02 | |||
| 232 | Yuen, Nicole Shuk Kam 袁淑琴 | 41 | F | RO | 2005-03-24 | |
| 233 | Yung, Tak Man 翁德敏 | Rep | 2014-06-10 | |||
| 234 | Zhang, Joe Hua Qiao 張化橋 | 40 | M | Rep | 2006-03-23 | |
| 235 | Zhang, Ning (SFC:AGD246) 張宁 | 35 | M | Rep | 2004-03-11 | |
| 236 | Zhu, Lei (SFC:AIU660) 朱雷 | M | Rep | 2003-05-21 | 2003-07-03 | |
| 237 | Zhu, Wenqian (SFC:AHD643) 朱文倩 | Rep | 2003-06-25 |
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