UBS SECURITIES ASIA LIMITED

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2004
SFC ID Role From Until
1 Anderson, Jonathan Gentile M AGW280 Rep 2003-05-30 2012-03-08
2 Anderson, Michael James (SFC:ABX611) M ABX611 Rep 2006-07-01
3 Au, Eva Sin Yee 區善宜 F ADV071 Rep 2003-09-08 2008-10-04
4 Basham, Caroline Charlotte F AFU065 Rep 2004-08-17
5 Beshke, Clarence John M ADS271 RO 2010-10-15
6 Bradshaw, John (SFC:AHC328) M AHC328 Rep 2012-03-29
7 Cavatoni, Joseph Roland M AFY750 Rep 2003-10-02 2009-04-20
8 Chan Yeung, Virginia Mo Bik 陳楊慕碧 ADY936 Rep 2006-05-26
9 Chan, Amy Yuen Han 陳婉嫻 F ADY964 Rep 2008-08-28
10 Chan, Andy Kok Heng AFC953 Rep 2010-05-20
11 Chan, Chak Ming (SFC:AJM690) 陳則明 AJM690 Rep 2004-02-25 2004-05-05
12 Chan, Raymond Yiu Yue 陳耀宇 M AHA800 Rep 2004-02-16 2017-12-19
13 Chan, Vincent Cheong Wa 陳昌華 M ACA303 Rep 2004-04-29
14 Chang, Walter 陳華德 M ABT445 Rep 2004-04-21
15 Cheng, James Vincent M AIC014 Rep 2004-04-29
16 Cheng, Jimmy Min Tat 鄭勉達 M ACV741 RO 2005-05-20
17 Cheng, Stephen Kwok Wai 鄭國偉 35 M ADS285 Rep 2005-04-27
18 Cheung, Ka Che 張家熾 AFX502 Rep 2005-07-05
19 Cheung, Ronald Yat Sau 張逸修 M AHJ471 Rep 2016-07-19
20 Chi, Alex Lai Hoi 朱禮開 AED013 Rep 2003-10-31 2004-03-08
21 Chia, Tse Ern AFO306 Rep 2004-03-26
22 Chik, Kin Nang 戚健能 AHR162 Rep 2008-03-15
23 Chin, David Hung I 金弘毅 36 M ADT385 RO 2004-07-01
24 Chin, Michael Jaewuk M ACZ609 Rep 2006-09-04
25 Chiu, Yuk Ha AJD190 Rep 2003-08-19 2007-03-01
26 Chu, Danny Wai Kit 朱偉傑 AFV890 Rep 2006-09-02
27 Chung, Suk Moon 鄭碩紋 AEK432 Rep 2004-06-03
28 Cin, Chang Sik AHM834 Rep 2018-12-29
29 Clifford, Timothy Edward M AFH048 Rep 2004-08-07
30 Coffeng, John Martinus (SFC:ADJ820) M ADJ820 Rep 2010-09-06
31 Combalot, Laurent Benoit Georges M AHC015 Rep 2009-05-06
32 Cox, Carrie Bigelow F ADR668 Rep 2004-04-15
33 Debow, Sean Herbert 狄寶生 M ACM546 Rep 2005-03-02
34 Ding, Yibing 丁一賓 ADJ647 Rep 2004-07-01
35 Dowie, Mark Peter Louden 43 M ADC078 RO 2004-04-01
36 Fang, Dongming 房東明 AFE991 Rep 2007-12-08
37 Fisher, Jocelyn Howard M AFB130 Rep 2004-03-15
38 Fok, Ronald King Man 霍敬文 27 M AGE025 Rep 2018-05-04
39 Gaiser, Florian AHY465 Rep 2004-05-17
40 Gaw, Christina 吳燕安 32 F ACS896 Rep 2008-06-14
41 Ghag, Arvinderpal AIB940 Rep 2004-04-27
42 Gooding, Nial Dennis Henry 劉國誠 45 M ABS538 Rep 2010-03-19
43 He, Lang AJB993 Rep 2004-02-25 2007-03-29
44 Henley, Robert Alexander M AHR011 Rep 2006-04-01
45 Ho, Beatrice Lap Sze 何立思 F ADS141 Rep 2004-04-23
46 Ho, Diana Pui Kwan 何佩君 F ABY481 Rep 2011-10-18
47 Ho, Kwok Chung (SFC:AAB905) 何國仲 AAB905 Rep 2008-05-07
48 Ho, Tsz Leung 何子樑 AJD615 Rep 2003-09-02 2018-06-05
49 Ho, William Wai Yin 何偉賢 M AFE790 Rep 2004-04-14
50 Ho, Yuk (SFC:AJC804) 何旭 AJC804 Rep 2003-08-06 2006-03-03
51 Hosie, Neil Cameron M AHQ348 Rep 2004-05-28
52 Houssian, Iven ADQ120 Rep 2004-07-06
53 Hu, Joy Lan Ya 胡嵐雅 AFV219 Rep 2003-09-30 2009-04-15
54 Hui, Alice Suk Fong 許淑芳 F AAK174 Rep 2007-01-25
55 Hung, Gary Lok Ming 熊洛銘 M ADY288 Rep 2006-03-04
56 Hunt, Christopher James Andrews M AHR004 Rep 2011-07-27
57 Jacobson, John Brennan M ACV752 RO 2003-09-02 2006-04-03
58 Johnson, Pekka David (SFC:ADL598) M ADL598 Rep 2005-03-21
59 Johnston, Richard William M AET370 Rep 2004-04-14
60 Khoo, Chiew Cheng 邱秋清 AEJ606 Rep 2006-04-21
61 Kim, Susan Eun F AIB938 Rep 2008-05-07
62 Kuan, Shu Shin 關素馨 AET363 Rep 2004-03-12
63 Kwan, Sing Yuen 關承遠 ABW052 Rep
64 Lai, Paul Wai Tsun 賴維津 M AED148 Rep 2004-07-01
65 Lam, Cynthia Wan Yee 林蘊怡 F AHV111 Rep 2003-12-30 2005-09-03
66 Lam, Franklin Fan Keung 林奮強 44 M ABG110 Rep 2005-04-27
67 Lam, Hu Yang 林曉陽 ADU633 Rep 2006-09-16
68 Lam, Vanessa Yuk Yee 林玉儀 F AID483 Rep 2006-08-26
69 Lau, Marcus Chi Chiu 劉志超 M AAC292 Rep 2006-06-08
70 Law, Wendy Wing Chi 羅穎芝 F AHS272 Rep 2005-06-13
71 Lee, Christopher Fai Man 李輝敏 38 M ACW239 Rep 2010-03-22
72 Lee, Hyun Jae (SFC:AHN694) 李賢宰 AHN694 Rep 2007-04-19
73 Lee, Simon Chun Kit 李俊傑 28 M AHA361 Rep 2009-04-22
74 Lee, Won Jong AFU204 Rep 2010-07-05
75 Leong, Vui Ling 梁偉靈 AEB584 Rep 2006-03-01
76 Lepper, David Anthony (SFC:AGJ984) M AGJ984 Rep 2008-07-16
77 Liew, Yew Wah AET878 Rep 2004-04-28
78 Lim, Meng Phong 林明鳳 AFH049 Rep 2017-06-28
79 Lo, Michael Sai Cheong 盧世昌 M AFR449 Rep 2003-11-25 2004-05-05
80 Look, Andrew 陸東 39 M ACO365 Rep 2007-07-05
81 Louie, Paul Kwok Yi 雷國怡 M AES876 Rep 2005-07-19
82 Lu, Edmund Lingjian 盧淩堅 M AGL936 Rep 2005-03-29
83 Luk, Terence (SFC:AGI503) 陸凱賢 M AGI503 Rep 2006-01-28
84 Ma, Kwun Yea 馬君意 AEF918 Rep 2006-02-28
85 McQueen, Lee Michael M ACR744 RO 2004-01-09 2005-05-10
86 Melwani, Rajesh Ramesh (SFC:AEU252) M AEU252 Rep 2010-01-26
87 Mizoguchi, Hironori AHL612 Rep 2004-03-12
88 Mou, Newman Siu Bun 繆肇彬 ABL554 Rep 2006-06-15
89 Ng, Diana Tze Chiew 黃紫秋 F ADX263 Rep 2004-10-20
90 Ng, Kenneth Chi Keung 吳志強 M AJM684 Rep 2004-02-25 2005-03-09
91 Ng, Siok Leng (SFC:AFM257) 黃淑玲 AFM257 Rep 2003-10-14 2008-05-14
92 Norris, Richard (SFC:AHG719) M AHG719 Rep 2004-05-18
93 Oertli, Michael M AFA291 RO 2004-04-22
94 Orgill, Bradley Wayne M ACR853 RO 2005-03-24
95 Pang, Kenneth Kwok Kit 彭國傑 M AEO731 Rep 2009-04-08
96 Park, Min AFA670 Rep 2004-07-29
97 Patel, Jinesh Kiran AFQ415 Rep 2006-06-24
98 Pecot III, Charles Matthew 44 M AHA548 Rep 2005-04-27
99 Pickstone, Julian Charles (SFC:AFT961) M AFT961 Rep 2007-09-03
100 Po, Alice Wai Sze 保慧思 F ADU277 Rep 2005-08-18
101 Poon, Ada Ho Yan 潘可欣 F AFQ511 Rep 2004-07-01
102 Poon, Ming Pui 潘明培 M AAF320 RO 2005-03-30
103 Rabinowitz, David M AHW502 Rep 2010-09-06
104 Redbourn, Paul Robert (SFC:AFQ906) M AFQ906 Rep 2010-10-15
105 Robertson, Simon Montague M AGI097 Rep 2010-04-09
106 Ross, Timothy Wakefield M AEX691 Rep 2005-05-03
107 Sanchez, Marlon Mikhail M ADJ822 Rep 2006-05-16
108 Saunders, Scott Antony M ADC081 RO 2005-05-20
109 Saxvik, Eric Bradley M ACR775 Rep 2012-04-13
110 Shieh, Ingrid AHA547 Rep 2004-04-29
111 Sim, Colin Ching Wern M AGN521 Rep 2007-06-14
112 Sinclair, Andrew Mark (SFC:AGP545) M AGP545 Rep 2004-04-18
113 Sohn, Bill Eun-Seok M AHN695 Rep 2007-01-23
114 Spence, James Barclay M AAY347 Rep 2004-04-02
115 Stutsman, Andrea Jean F AGF487 Rep 2006-05-01
116 Suen, Benny Hung Kit 孫雄傑 M AIB797 Rep 2009-04-22
117 Sum, Hing Man 岑慶文 ABW145 Rep 2014-04-11
118 Sun, Lucy Shin Su 孫心樹 F AFE095 Rep 2003-05-15 2005-06-15
119 Tan, Lien Seng AFK584 Rep 2005-03-21
120 Tan, Nicholas Chye Seng (1973) 31 M AGP551 Rep 2004-05-31
121 Tan, Yew Boon 陳友文 AFS647 Rep 2004-05-04
122 Tetzlaff, Juergen AJL557 Rep 2004-02-12 2005-11-26
123 Thomas, Rebecca Judith F AHC210 Rep 2004-05-13
124 Tinker, Dylan Carlo 36 M ACC173 Rep 2005-04-11
125 Tse, Shirley Sze Wan 謝詩韻 F AFU564 Rep 2009-11-30
126 Volet, Raphael M AGS546 Rep 2004-04-02
127 Wadle, John Allen M AGS454 Rep 2009-04-07
128 Wan, Li (SFC:AHD514) 萬里 AHD514 Rep 2004-03-08
129 Wang, Peng (SFC:AJM687) 王鵬 AJM687 Rep 2004-02-25 2004-12-14
130 Wareham, Olivia Louise F AJM694 Rep 2004-02-25 2004-07-06
131 Wei, Ying (SFC:AJM685) 魏莹 AJM685 Rep 2004-02-25 2007-06-16
132 Williams, Sian Elizabeth (SFC:ADT132) F ADT132 Rep 2004-05-28
133 Wong, Angel Po Kit 黃寶潔 AJK728 Rep 2004-01-30 2006-07-08
134 Wong, Constance 黃子欣 F ABR876 Rep 2008-05-24
135 Wong, Eric Chun Yu 王震宇 M AEU432 Rep 2011-03-10
136 Wong, Jenny Chieh Lu 王潔如 F AGL441 Rep 2006-06-17
137 Woodland, Emily Jane F AJE851 Rep 2003-10-14 2012-03-19
138 Wooldridge, Duncan Samuel M AEU633 Rep 2003-06-27 2017-06-10
139 Wu, Chi Wai (SFC:AIQ683) 胡志威 AIQ683 Rep 2011-10-24
140 Wu, James Yun M AGN747 Rep 2009-05-13
141 Yang, Heidi Hoi Ti 楊凱蒂 34 F ACJ627 Rep 2003-05-09 2004-07-06
142 Yang, Kai (SFC:ADW509) 楊凱 ADW509 Rep 2004-07-01
143 Yin, He 尹賀 AJM689 Rep 2004-02-25 2007-06-16
144 Yip, Shuk Ling 葉淑玲 AEA526 Rep 2009-12-03
145 Yoon, Chi Won ACN181 RO 2003-09-15 2005-06-09
146 Yu, Jason Wah Chiu 余華超 M AAD859 RO 2005-03-24
147 Yu, Kok Leung 余國良 AGI779 Rep 2006-03-12
148 Yuen, Nicole Shuk Kam 袁淑琴 42 F ACH708 RO 2005-03-24
149 Yung, Tak Man (SFC:AHK660) 翁德敏 AHK660 Rep 2014-06-10
150 Zhang, Joe Hua Qiao 張化橋 41 M ACY687 Rep 2006-03-23
151 Zhang, Ning (SFC:AGD246) 張宁 36 M AGD246 Rep 2004-03-11

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