Current licenceholders of ACO507 SMBC Nikko Securities (Hong Kong) Limited

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Licenceholder Role Licences Start date
LAM Ka Wun, Gary 林家垣 RE 1 (Dealing in Securities), 4 (Advising on Securities) 2021-02-19
YANG Lujia 楊路加 RE 4 (Advising on Securities), 1 (Dealing in Securities) 2021-02-17
KIMURA Tomonobu 木村 友信 RE 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) 2021-02-17
TONG Leo 唐震宇 RE 6 (Advising on Corporate Finance) 2021-01-27
TONG Leo 唐震宇 RO 1 (Dealing in Securities), 4 (Advising on Securities) 2021-01-27
CHAN Ying Tung 陳映彤 RE 4 (Advising on Securities), 1 (Dealing in Securities) 2021-01-25
LAI Chuk Man 賴祝文 RE 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) 2020-12-08
CHAN Kwok Fung, Dennis 陳國峰 RO 4 (Advising on Securities), 1 (Dealing in Securities), 6 (Advising on Corporate Finance) 2020-11-16
FURUTA Taketora 古田竹虎 RO 2 (Dealing in Futures Contracts), 4 (Advising on Securities), 1 (Dealing in Securities), 5 (Advising on Futures Contracts) 2020-11-16
CHEN Yu-Lun 陳昱綸 RE 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) 2020-11-02
MCGILL Ruarri Ronald RE 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) 2020-10-16
KOBAYASHI Kaya 周宛嬋 RE 1 (Dealing in Securities), 4 (Advising on Securities) 2020-08-31
NAKA Kazuhito 那珂和人 RE 4 (Advising on Securities), 1 (Dealing in Securities) 2020-08-14
AN Sang Beom RE 4 (Advising on Securities), 1 (Dealing in Securities) 2020-07-06
SATO Hiromi 佐藤弘美 RO 4 (Advising on Securities), 6 (Advising on Corporate Finance), 5 (Advising on Futures Contracts), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) 2020-05-21
WATANABE Hiroharu 渡邊 洋治 RE 4 (Advising on Securities) 2020-04-01
KATSURA Ryosuke RE 4 (Advising on Securities) 2020-03-16
KAETSU Yuri 嘉悅友理 RE 4 (Advising on Securities), 1 (Dealing in Securities) 2020-03-09
CHEN Yu-Lun 陳昱綸 RE 4 (Advising on Securities), 1 (Dealing in Securities) 2020-03-02
QIAN Chenhan 錢辰翰 RE 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) 2020-02-27
KONDO Katsuyoshi 近藤勝義 RO 4 (Advising on Securities), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) 2020-02-17
SAMPSON Machiko RO 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) 2020-01-13
MCGILL Ruarri Ronald RE 4 (Advising on Securities), 1 (Dealing in Securities) 2020-01-02
OON Ai Li 溫愛莉 RE 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) 2019-12-03
NAKAMURA Masashi 中村雅史 RO 1 (Dealing in Securities), 6 (Advising on Corporate Finance), 4 (Advising on Securities) 2019-12-03
CHEN Yanjie 陳燕杰 RE 1 (Dealing in Securities), 4 (Advising on Securities) 2019-11-28
SAKAMOTO Minoru RO 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) 2019-09-25
JI Pingzi 季屏子 RE 1 (Dealing in Securities), 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) 2019-07-16
KIM Joohyung 金胄亨 RE 4 (Advising on Securities), 1 (Dealing in Securities) 2019-07-15
JI Pingzi 季屏子 RE 4 (Advising on Securities) 2019-07-02
OKUBO Kaori 大久保佳織 RE 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts), 4 (Advising on Securities), 1 (Dealing in Securities) 2019-06-24
KARANOVIC Vladimir RE 4 (Advising on Securities), 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts), 1 (Dealing in Securities) 2019-01-24
MAO Yiyi 毛禕禕 RE 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) 2018-12-31
GUO Zhen 郭真 RE 4 (Advising on Securities), 1 (Dealing in Securities) 2018-12-31
KE Tak Lai 紀德禮 RE 2 (Dealing in Futures Contracts), 5 (Advising on Futures Contracts) 2018-12-19
HUANG Ho Pin 黃禾蘋 RE 1 (Dealing in Securities) 2018-11-30
KE Tak Lai 紀德禮 RE 1 (Dealing in Securities), 4 (Advising on Securities) 2018-11-02
SAMPSON Machiko RO 4 (Advising on Securities), 1 (Dealing in Securities) 2018-10-11
TSE Pui Yi 謝佩宜 RE 4 (Advising on Securities), 6 (Advising on Corporate Finance), 1 (Dealing in Securities) 2018-07-09
FUJISAKI Koa 藤崎小亞 RE 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) 2018-05-29
NG Kathy Ka Wai 伍家慧 RE 4 (Advising on Securities) 2018-05-21
NG Kathy Ka Wai 伍家慧 RE 1 (Dealing in Securities) 2018-05-02
KATO Mayumi 加藤真由美 RE 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) 2018-01-05
SHIMAMOTO Arisa 嶌本有紗 RE 5 (Advising on Futures Contracts), 2 (Dealing in Futures Contracts) 2017-12-22
ARYA Parth RE 6 (Advising on Corporate Finance), 1 (Dealing in Securities), 4 (Advising on Securities) 2017-12-13
LAM King Sau 林勁秀 RE 1 (Dealing in Securities), 4 (Advising on Securities), 6 (Advising on Corporate Finance) 2017-08-10
FUJISAKI Koa 藤崎小亞 RE 1 (Dealing in Securities), 4 (Advising on Securities) 2017-07-21
CHUNG Hoh RE 6 (Advising on Corporate Finance) 2016-06-22
MOCHIZUKI Yuki 望月優樹 RE 6 (Advising on Corporate Finance) 2016-06-22
TANG Wai Hung 鄧偉雄 RO 4 (Advising on Securities), 1 (Dealing in Securities) 2016-03-04
CHAN Ching Han 陳靜嫻 RE 1 (Dealing in Securities), 4 (Advising on Securities) 2016-01-12
SHIMAMOTO Arisa 嶌本有紗 RE 4 (Advising on Securities), 1 (Dealing in Securities) 2015-11-16
TANG Wai Hung 鄧偉雄 RE 6 (Advising on Corporate Finance) 2015-09-15
MOCHIZUKI Yuki 望月優樹 RE 4 (Advising on Securities), 1 (Dealing in Securities) 2015-09-02
CHUNG Hoh RE 4 (Advising on Securities), 1 (Dealing in Securities) 2015-08-17
TAM Ming Yan 譚銘忺 RE 1 (Dealing in Securities) 2014-12-12
WONG Kwan Ting 黃君婷 RE 4 (Advising on Securities), 1 (Dealing in Securities) 2014-11-17
HO Hiu Kwan 何曉筠 RE 4 (Advising on Securities), 1 (Dealing in Securities) 2014-08-18
HILL Trevor Aaron RE 1 (Dealing in Securities) 2014-06-20
KATO Mayumi 加藤真由美 RE 4 (Advising on Securities) 2014-04-17
FOK Tse Hang, Allan 霍子恒 RO 4 (Advising on Securities) 2012-09-19
ZHENG Zhonghui 鄭鍾慧 RE 4 (Advising on Securities), 1 (Dealing in Securities) 2012-09-17
FOK Tse Hang, Allan 霍子恒 RE 1 (Dealing in Securities) 2012-09-14
FOK Tse Hang, Allan 霍子恒 RO 6 (Advising on Corporate Finance) 2012-07-20
KATO Mayumi 加藤真由美 RE 1 (Dealing in Securities) 2012-07-18
ZHANG Qiangang 張乾剛 RO 1 (Dealing in Securities) 2012-05-31
HONDA Miwa 本田美和 RE 1 (Dealing in Securities) 2011-07-11
ZHANG Qiangang 張乾剛 RO 4 (Advising on Securities) 2011-06-16
HONDA Miwa 本田美和 RE 4 (Advising on Securities) 2008-03-17