SFC Licenceholders of Oppenheimer Investments Asia Limited 凱萬亞洲有限公司
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Licenceholders | Role | Licences | Start date | End date |
|---|---|---|---|---|
| BAEK Kwonwoo | RE | 1 | 22 August 2011 | 17 October 2012 |
| BENNETT JUNIOR Stephen Scott | RE | 4 | 02 October 2015 | 31 January 2024 |
| BENNETT JUNIOR Stephen Scott | RE | 1 | 02 October 2015 | 31 January 2024 |
| BERNSTEIN Steven A | RO | 6 | 12 February 2010 | 30 November 2011 |
| BERNSTEIN Steven A | RO | 1 | 12 February 2010 | 30 November 2011 |
| BHATIA Chetan | RO | 6 | 12 February 2010 | 27 January 2012 |
| BU Wenyuan 卜文淵 | RE | 6 | 19 April 2010 | 11 October 2011 |
| CHAN Jenny Wai-yee | RE | 1 | 05 September 2011 | 04 July 2012 |
| CHAN Jenny Wai-yee | RE | 6 | 05 September 2011 | 04 July 2012 |
| CHENG Yan Ting 鄭恩婷 | RE | 1 | 12 September 2012 | 31 May 2013 |
| CHILLINGTON Timothy John | RO | 4 | 29 August 2017 | |
| CHILLINGTON Timothy John | RO | 1 | 16 March 2016 | |
| CHILLINGTON Timothy John | RE | 4 | 07 December 2015 | 29 August 2017 |
| CHILLINGTON Timothy John | RE | 1 | 07 December 2015 | 16 March 2016 |
| CHING Po Yin 程寶妍 | RE | 1 | 07 August 2015 | 15 September 2017 |
| CHING Po Yin 程寶妍 | RE | 4 | 07 August 2015 | 15 September 2017 |
| CHO Kevin 曹家榮 | RE | 4 | 25 August 2015 | 31 December 2016 |
| CHO Kevin 曹家榮 | RE | 6 | 25 August 2015 | 31 December 2016 |
| CHOW Man Kit, Jerry 周文傑 | RE | 1 | 17 December 2012 | 03 May 2013 |
| CHU Wan Chi 朱韻芝 | RE | 1 | 30 June 2014 | 09 June 2017 |
| CHUNG Michael | RE | 1 | 30 April 2012 | |
| CHUNG Michael | RE | 4 | 02 July 2013 | |
| COOK III Thomas Crawford | RO | 1 | 12 February 2010 | 07 September 2010 |
| DESAI Keemesh | RE | 4 | 04 August 2014 | 08 August 2016 |
| DESAI Keemesh | RE | 1 | 04 August 2014 | 08 August 2016 |
| FARBSTEIN Noah Michael | RE | 6 | 06 October 2014 | 25 September 2015 |
| FARBSTEIN Noah Michael | RE | 1 | 06 October 2014 | 25 September 2015 |
| GAN Jonathan Chin Jer | RE | 6 | 22 August 2011 | 12 April 2012 |
| GREEN Robin Adam | RO | 6 | 20 April 2015 | 05 July 2017 |
| GREEN Robin Adam | RO | 4 | 29 January 2013 | 31 August 2017 |
| GREEN Robin Adam | RO | 1 | 11 June 2012 | 31 August 2017 |
| HE Jia 賀佳 | RE | 4 | 13 March 2014 | 24 July 2015 |
| HE Jia 賀佳 | RE | 1 | 13 March 2014 | 24 July 2015 |
| HOLDER Daniel William | RO | 4 | 29 January 2013 | 31 August 2013 |
| HOLDER Daniel William | RE | 1 | 03 October 2012 | 29 January 2013 |
| HOLDER Daniel William | RO | 1 | 29 January 2013 | 31 August 2013 |
| HOLMES Charles Broadfoot | RO | 6 | 11 May 2012 | 15 March 2015 |
| HOLMES Charles Broadfoot | RO | 1 | 12 February 2010 | 15 March 2015 |
| HORNBY William Hugh Scobie | RE | 4 | 11 January 2024 | |
| HORNBY William Hugh Scobie | RE | 1 | 11 January 2024 | |
| HUANG Bo-Kai 黃柏愷 | RO | 1 | 18 January 2012 | 30 June 2014 |
| HUANG Bo-Kai 黃柏愷 | RE | 1 | 13 October 2010 | 18 January 2012 |
| HUANG Cliff Stevens 黃子明 | RE | 4 | 30 May 2013 | 12 August 2013 |
| HUANG Cliff Stevens 黃子明 | RO | 4 | 12 August 2013 | |
| HUANG Cliff Stevens 黃子明 | RO | 1 | 12 August 2013 | |
| HUANG Cliff Stevens 黃子明 | RE | 1 | 30 May 2013 | 12 August 2013 |
| HUI Wai Ying, Florence 許慧瑩 | RE | 6 | 19 April 2010 | 21 March 2011 |
| HUNG Tsun Hay 洪浚曦 | RE | 4 | 09 November 2017 | 06 November 2018 |
| HUNG Tsun Hay 洪浚曦 | RE | 1 | 09 November 2017 | 06 November 2018 |
| KANEKO Satsuki | RE | 1 | 27 August 2010 | 07 February 2011 |
| KANG Minja Evelyn | RE | 1 | 24 September 2010 | 18 May 2011 |
| KIM Hyun Ho 金賢鎬 | RO | 1 | 26 January 2018 | |
| KIM Hyun Ho 金賢鎬 | RO | 4 | 21 March 2014 | |
| KIM Hyun Ho 金賢鎬 | RE | 4 | 17 January 2014 | 21 March 2014 |
| KIM Hyun Ho 金賢鎬 | RE | 1 | 17 January 2014 | 26 January 2018 |
| KNIGHT Christopher John | RE | 1 | 10 August 2016 | 31 January 2018 |
| KOO Hung Jun, Lawrence 顧弘潤 | RE | 4 | 03 April 2019 | 06 February 2020 |
| KOO Hung Jun, Lawrence 顧弘潤 | RE | 1 | 03 April 2019 | 06 February 2020 |
| LAI Carlos 黎嘉樂 | RE | 6 | 09 March 2011 | 12 April 2012 |
| LAI Voon San 賴汶山 | RE | 4 | 29 January 2013 | 31 May 2013 |
| LAI Voon San 賴汶山 | RE | 1 | 03 October 2012 | 31 May 2013 |
| LAU Caroline Man Har 劉曼霞 | RE | 4 | 29 January 2013 | 18 February 2013 |
| LAU Caroline Man Har 劉曼霞 | RE | 1 | 05 August 2010 | 18 February 2013 |
| LAU Lik Alaric 劉力 | RE | 1 | 17 May 2012 | 01 November 2012 |
| LI Binhan 李彬翰 | RE | 4 | 25 October 2017 | |
| LI Binhan 李彬翰 | RE | 1 | 25 October 2017 | |
| LIAO Ya Tzu 廖雅姿 | RE | 1 | 15 October 2010 | 21 October 2011 |
| LIM Jie Ru Gillian | RE | 1 | 25 March 2013 | 07 March 2014 |
| LIM Jie Ru Gillian | RE | 4 | 25 March 2013 | 07 March 2014 |
| LIN Michelle Chia-Hsing | RE | 6 | 19 April 2010 | 18 March 2011 |
| LIPTAK John Bennett | RE | 4 | 16 March 2015 | 17 May 2015 |
| LIPTAK John Bennett | RE | 1 | 16 March 2015 | 17 May 2015 |
| LIU Hanhua 劉漢華 | RE | 6 | 16 March 2010 | 27 March 2011 |
| LU Cindy Xingyi | RE | 4 | 13 January 2023 | |
| LU Cindy Xingyi | RE | 1 | 13 January 2023 | |
| MILLET Matthieu Louis Fumiyochi | RE | 1 | 11 March 2010 | 25 August 2011 |
| MOELLER Corinna Georgina | RE | 1 | 27 February 2013 | 25 September 2013 |
| NEWMAN Neil Lionel | RE | 1 | 19 September 2012 | 18 February 2013 |
| NG Chi Fai 吳梓輝 | RO | 6 | 12 February 2010 | 09 March 2011 |
| OOI Soon Yi Brian 黃順豫 | RE | 6 | 21 December 2015 | 31 December 2016 |
| OOI Soon Yi Brian 黃順豫 | RE | 1 | 21 December 2015 | 31 December 2016 |
| RUDDICK Matthew | RO | 4 | 08 July 2013 | 31 December 2013 |
| RUDDICK Matthew | RE | 4 | 11 March 2013 | 08 July 2013 |
| RUDDICK Matthew | RE | 1 | 11 March 2013 | 31 December 2013 |
| SHAH Dhawal Arvind | RE | 1 | 24 November 2011 | 30 June 2016 |
| SO Mei Lun 蘇美倫 | RE | 1 | 10 December 2012 | 16 September 2013 |
| SO Mei Lun 蘇美倫 | RO | 1 | 16 September 2013 | 24 January 2014 |
| SO Mei Lun 蘇美倫 | RE | 4 | 02 May 2013 | 24 January 2014 |
| TAN Eugenio T. 陳傳溜 | RO | 6 | 26 September 2013 | 31 December 2016 |
| TONG Pauline 唐寶琳 | RE | 4 | 14 September 2016 | 17 March 2017 |
| TONG Pauline 唐寶琳 | RE | 1 | 14 September 2016 | 17 March 2017 |
| WANG Shuyi 王舒誼 | RE | 1 | 31 August 2010 | 19 April 2011 |
| WONG Jia 王嘉 | RE | 6 | 19 April 2010 | 16 April 2012 |
| WONG Pak Chun 王柏俊 | RE | 1 | 23 February 2011 | 23 August 2012 |
| WOOL Kyle Michael | RE | 1 | 11 March 2011 | 07 May 2013 |
| XU Dapeng 徐大鵬 | RE | 6 | 28 May 2010 | 30 June 2015 |
| YANG Wu-Kuang 楊武光 | RE | 1 | 27 October 2011 | 30 March 2012 |
| YAU Geoffrey Cheuk Fei 邱卓飛 | RE | 1 | 21 June 2017 | |
| YE Calvin | RE | 4 | 15 March 2013 | 15 January 2014 |
| YE Calvin | RE | 1 | 17 May 2012 | 15 January 2014 |
| YIP Chung Leung 葉仲量 | RE | 1 | 08 November 2010 | 26 April 2012 |
| YIU Ka Hing 姚嘉興 | RE | 6 | 08 October 2010 | 15 October 2010 |
| YUAN Runan 袁茹楠 | RE | 4 | 17 August 2021 | 30 September 2022 |
| YUAN Runan 袁茹楠 | RE | 1 | 17 August 2021 | 30 September 2022 |
| ZHU Jintao 朱錦桃 | RE | 4 | 14 March 2018 | 01 June 2021 |
| ZHU Jintao 朱錦桃 | RE | 1 | 14 March 2018 | 01 June 2021 |