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 Aw, Michael Soon Beng 胡順炳 29 M AGC164 Rep 2003-06-25
5 Barker, Angus Jack Rutherford M AES430 Rep 2003-05-06 2003-07-03
6 Basham, Caroline Charlotte F AFU065 Rep 2004-08-17
7 Baur, Markus Peter M AIC327 Rep 2003-06-25
8 Beniwal, Saurabh AHI791 Rep 2003-06-25
9 Beshke, Clarence John M ADS271 RO 2010-10-15
10 Bibby, Nicholas Paley M ADB688 Rep 2003-05-30
11 Blackburn, Andrew James (SFC:AJE473) M AJE473 Rep 2003-09-29 2003-12-10
12 Bodek, Haim Yigal AJJ914 Rep 2004-03-15 2004-06-15
13 Boland, Frank Joseph M AGT131 Rep 2003-04-23
14 Bourgeois, Eva Maria F AJN952 Rep 2004-03-10 2008-03-14
15 Bradshaw, John (SFC:AHC328) M AHC328 Rep 2012-03-29
16 Brown, Marcus William Ross M AGH930 Rep 2003-06-25
17 Burnett, Peter William (SFC:ADX522) M ADX522 RO 2003-06-25
18 Cavatoni, Joseph Roland M AFY750 Rep 2003-10-02 2009-04-20
19 Chan Yeung, Virginia Mo Bik 陳楊慕碧 ADY936 Rep 2006-05-26
20 Chan, Amy Yuen Han 陳婉嫻 F ADY964 Rep 2008-08-28
21 Chan, Andy Kok Heng AFC953 Rep 2010-05-20
22 Chan, Chak Ming (SFC:AJM690) 陳則明 AJM690 Rep 2004-02-25 2004-05-05
23 Chan, Mark Man Wai 陳孟為 M ABR486 Rep 2003-04-09
24 Chan, Raymond Yiu Yue 陳耀宇 M AHA800 Rep 2003-06-25
Rep 2004-02-16 2017-12-19
25 Chan, Vincent Cheong Wa 陳昌華 M ACA303 Rep 2004-04-29
26 Chan, Winnie (SFC:AFD453) 陳韻妮 F AFD453 Rep 2003-06-25
27 Chang, Walter 陳華德 M ABT445 Rep 2004-04-21
28 Chee, Choon Wee 朱俊偉 AFX097 Rep 2003-06-25
29 Chee, Yuen Leng 朱宛玲 AHK661 Rep 2004-02-01
30 Chen, Xiao (SFC:AHD966) 陳霄 AHD966 Rep 2003-06-25
31 Chenaux-Repond, Lorenz Michael M AES431 Rep 2003-06-25
32 Cheng, James Vincent M AIC014 Rep 2004-04-29
33 Cheng, Jimmy Min Tat 鄭勉達 M ACV741 RO 2005-05-20
34 Cheng, Stephen Kwok Wai 鄭國偉 35 M ADS285 Rep 2005-04-27
35 Cheung, Ka Che 張家熾 AFX502 Rep 2005-07-05
36 Cheung, Ronald Yat Sau 張逸修 M AHJ471 Rep 2016-07-19
37 Chew, Jason Chiat Tsen 周傑昇 M AIN850 Rep 2003-06-25
38 Chi, Alex Lai Hoi 朱禮開 AED013 Rep 2003-10-31 2004-03-08
39 Chia, Tse Ern AFO306 Rep 2004-03-26
40 Chik, Kin Nang 戚健能 AHR162 Rep 2008-03-15
41 Chin, David Hung I 金弘毅 36 M ADT385 RO 2004-07-01
42 Chin, Michael Jaewuk M ACZ609 Rep 2006-09-04
43 Chin, Sara Taechung F AHA555 Rep 2003-06-25
44 Chiu, Leo Yu Yuk 趙汝昱 M AHZ628 Rep 2003-06-25
45 Chiu, Yuk Ha AJD190 Rep 2003-08-19 2007-03-01
46 Chong, Kian Shing 張建成 AGE022 Rep 2003-06-25
47 Chow, Siu Han 周笑嫻 ADX152 Rep 2003-06-25
48 Chu, Danny Wai Kit 朱偉傑 AFV890 Rep 2006-09-02
49 Chu, Pierre Wang Chung 朱宏中 M AGK798 Rep 2003-06-25
50 Chung, Melanie Man Ki 鍾文琦 F AIG158 Rep 2003-06-25
51 Chung, Rex Richard Kyuchang M AEI990 Rep 2003-06-25
52 Chung, Suk Moon 鄭碩紋 AEK432 Rep 2004-06-03
53 Cin, Chang Sik AHM834 Rep 2018-12-29
54 Clifford, Timothy Edward M AFH048 Rep 2004-08-07
55 Coffeng, John Martinus (SFC:ADJ820) M ADJ820 Rep 2010-09-06
56 Combalot, Laurent Benoit Georges M AHC015 Rep 2009-05-06
57 Cox, Carrie Bigelow F ADR668 Rep 2004-04-15
58 Debow, Sean Herbert 狄寶生 M ACM546 Rep 2005-03-02
59 Ding, Yibing 丁一賓 ADJ647 Rep 2004-07-01
60 Donald, Luke Geoffrey M AJM931 Rep 2004-03-01 2007-04-14
61 Dong, William Chen M AIU737 Rep 2003-05-09 2004-02-24
62 Donnelly, Brian Patrick M AJJ924 Rep 2004-03-29 2004-06-29
63 Dowie, Mark Peter Louden 43 M ADC078 RO 2004-04-01
64 Easterbrook, Trevor Stephen M AGX021 Rep 2004-02-23
65 Fang, Dongming 房東明 AFE991 Rep 2007-12-08
66 Fang, Sean Sung Ho 方頌和 36 M ADS446 Rep 2003-06-25
67 Fisher, Jocelyn Howard M AFB130 Rep 2004-03-15
68 Fok, Glenn 霍經麟 47 M ABN513 Rep 2003-06-25
69 Fok, Ronald King Man 霍敬文 27 M AGE025 Rep 2018-05-04
70 Gaiser, Florian AHY465 Rep 2004-05-17
71 Gaw, Christina 吳燕安 32 F ACS896 Rep 2008-06-14
72 Ghag, Arvinderpal AIB940 Rep 2004-04-27
73 Gooding, Nial Dennis Henry 劉國誠 45 M ABS538 Rep 2010-03-19
74 Gu, Huaiyu 谷懷雨 AGX678 Rep 2003-06-25
75 He, Di (1948) 何迪 56 M AEL657 Rep 2003-06-25
76 He, Lang AJB993 Rep 2004-02-25 2007-03-29
77 Henley, Robert Alexander M AHR011 Rep 2006-04-01
78 Ho, Beatrice Lap Sze 何立思 F ADS141 Rep 2004-04-23
79 Ho, Diana Pui Kwan 何佩君 F ABY481 Rep 2011-10-18
80 Ho, Kwok Chung (SFC:AAB905) 何國仲 AAB905 Rep 2008-05-07
81 Ho, Stanley Yaun 何仁 M AGA624 Rep 2003-06-25
82 Ho, Tat Shing 何達成 AHA554 Rep 2003-08-21
83 Ho, Tsz Leung 何子樑 AJD615 Rep 2003-09-02 2018-06-05
84 Ho, William Wai Yin 何偉賢 M AFE790 Rep 2004-04-14
85 Ho, Yuk (SFC:AJC804) 何旭 AJC804 Rep 2003-08-06 2006-03-03
86 Holland, John Michael Morgan 41 M AFR867 RO 2003-11-11
87 Hoong, Chris Cheong Thard 孔祥達 36 M ACB773 Rep 2003-05-15
88 Hosie, Neil Cameron M AHQ348 Rep 2004-05-28
89 Houssian, Iven ADQ120 Rep 2004-07-06
90 Hsu, Karen Chia Lin 徐嘉琳 F ACO622 Rep 2004-02-23
91 Hu, Joy Lan Ya 胡嵐雅 AFV219 Rep 2003-09-30 2009-04-15
92 Hui, Alice Suk Fong 許淑芳 F AAK174 Rep 2007-01-25
93 Hung, Gary Lok Ming 熊洛銘 M ADY288 Rep 2006-03-04
94 Hunt, Christopher James Andrews M AHR004 Rep 2011-07-27
95 Jackamo Ii, Thomas Joseph M AFD746 Rep 2003-06-25
96 Jacobson, John Brennan M ACV752 Rep 2003-09-02
RO 2003-09-02 2006-04-03
97 Jeong, Joseph Chu M AEY997 Rep 2003-07-29
98 Jiang, Shan (SFC:AGE826) 姜山 33 M AGE826 Rep 2003-06-25
99 Johnson, Pekka David (SFC:ADL598) M ADL598 Rep 2005-03-21
100 Johnston, Richard William M AET370 Rep 2004-04-14
101 Kandiah, Sutharshan AHF855 Rep 2003-06-25
102 Kang, Minja AGJ645 Rep 2004-02-02
103 Khoo, Chiew Cheng 邱秋清 AEJ606 Rep 2006-04-21
104 Kim, Su Mi (SFC:AEW312) 金秀美 AEW312 Rep 2003-06-25
105 Kim, Susan Eun F AIB938 Rep 2008-05-07
106 Kuan, Shu Shin 關素馨 AET363 Rep 2004-03-12
107 Kwan, Sing Yuen 關承遠 ABW052 Rep
108 Kwik, Claudia Hwee Kim F AGK799 Rep 2003-06-25
109 Kwong, Marcus Mann 鄺孟芹 M AFU388 Rep 2004-03-31 2009-04-25
110 Lai, Paul Wai Tsun 賴維津 M AED148 Rep 2004-07-01
111 Lai, Wing Yi 黎詠儀 AED789 Rep 2003-05-30
112 Lam, Cynthia Wan Yee 林蘊怡 F AHV111 Rep 2003-12-30 2005-09-03
113 Lam, Franklin Fan Keung 林奮強 44 M ABG110 Rep 2005-04-27
114 Lam, Hu Yang 林曉陽 ADU633 Rep 2006-09-16
115 Lam, Mo Yee 林慕怡 AGN596 Rep 2003-06-25
116 Lam, Vanessa Yuk Yee 林玉儀 F AID483 Rep 2006-08-26
117 Lau, Marcus Chi Chiu 劉志超 M AAC292 Rep 2006-06-08
118 Lau, Patricia Yan Ki 劉恩琪 25 F AIH455 Rep 2003-06-25
119 Law, Wendy Wing Chi 羅穎芝 F AHS272 Rep 2005-06-13
120 Lee, Chris C AGX022 Rep 2003-07-29
121 Lee, Christopher Fai Man 李輝敏 38 M ACW239 Rep 2010-03-22
122 Lee, Gene Jin-Won AGP540 Rep 2003-06-25
123 Lee, Hyun Jae (SFC:AHN694) 李賢宰 AHN694 Rep 2007-04-19
124 Lee, James (SFC:AHW505) M AHW505 Rep 2003-06-25
125 Lee, Simon Chun Kit 李俊傑 28 M AHA361 Rep 2009-04-22
126 Lee, Won Jong AFU204 Rep 2010-07-05
127 Leong, Vui Ling 梁偉靈 AEB584 Rep 2006-03-01
128 Lepper, David Anthony (SFC:AGJ984) M AGJ984 Rep 2008-07-16
129 Leung, Derek Yuk Lun 梁旭麟 M AGF367 Rep 2003-06-25
130 Leung, Mary Ka Yan 梁家恩 F AEJ838 Rep 2003-06-25
131 Liew, Yew Wah AET878 Rep 2004-04-28
132 Lim, Bryan Patrick Hong Chin M AIC039 Rep 2003-06-25
133 Lim, Meng Phong 林明鳳 AFH049 Rep 2017-06-28
134 Lo, Michael Sai Cheong 盧世昌 M AFR449 Rep 2003-11-25 2004-05-05
135 Look, Andrew 陸東 39 M ACO365 Rep 2007-07-05
136 Louie, Paul Kwok Yi 雷國怡 M AES876 Rep 2005-07-19
137 Lu, Edmund Lingjian 盧淩堅 M AGL936 Rep 2005-03-29
138 Lu, Jia (SFC:AJD748) 路嘉 AJD748 Rep 2003-09-16 2003-10-17
139 Luk, Terence (SFC:AGI503) 陸凱賢 M AGI503 Rep 2006-01-28
140 Ma, Kwun Yea 馬君意 AEF918 Rep 2006-02-28
141 Mackinnon, Charles Harold Hugh M AFX083 Rep 2003-04-10
142 McLennan, Ian Richard James 39 M AFA721 Rep 2004-01-02
143 McQueen, Lee Michael M ACR744 Rep 2004-01-09
RO 2004-01-09 2005-05-10
144 Melwani, Rajesh Ramesh (SFC:AEU252) M AEU252 Rep 2010-01-26
145 Mizoguchi, Hironori AHL612 Rep 2004-03-12
146 Mou, Newman Siu Bun 繆肇彬 ABL554 Rep 2006-06-15
147 Mukhopadhyay, Ajinkya AHF255 Rep 2003-06-25
148 Ng, Diana Tze Chiew 黃紫秋 F ADX263 Rep 2004-10-20
149 Ng, Hooi Chong 黃慧聰 36 M ADH384 Rep 2003-04-30
150 Ng, Kenneth Chi Keung 吳志強 M AJM684 Rep 2004-02-25 2005-03-09
151 Ng, Siok Leng (SFC:AFM257) 黃淑玲 AFM257 Rep 2003-10-14 2008-05-14
152 Norris, Richard (SFC:AHG719) M AHG719 Rep 2004-05-18
153 Oertli, Michael M AFA291 RO 2004-04-22
154 Ollerenshaw, Simon Gerald M AHD912 Rep 2003-06-25
155 Orgill, Bradley Wayne M ACR853 RO 2005-03-24
156 Pang, Kenneth Kwok Kit 彭國傑 M AEO731 Rep 2009-04-08
157 Park, Min AFA670 Rep 2004-07-29
158 Parthasarathy, Raja ADB039 Rep 2003-06-25
159 Patel, Jinesh Kiran AFQ415 Rep 2006-06-24
160 Pecot III, Charles Matthew 44 M AHA548 Rep 2005-04-27
161 Pfatteicher, Peter Alexander M AGO206 Rep 2003-05-02
162 Pickstone, Julian Charles (SFC:AFT961) M AFT961 Rep 2007-09-03
163 Pink, Nicholas Alexander M AJX095 Rep 2004-03-31 2004-07-08
164 Png, Chin Yee AGF416 Rep 2003-06-25
165 Po, Alice Wai Sze 保慧思 F ADU277 Rep 2005-08-18
166 Poon, Ada Ho Yan 潘可欣 F AFQ511 Rep 2004-07-01
167 Poon, Jenny 潘珍妮 F AHR022 Rep 2003-05-24
168 Poon, Ming Pui 潘明培 M AAF320 RO 2005-03-30
169 Price, Edmund Hugh Owain 35 M ADS121 Rep 2003-06-25
170 Qiu, Ruofei 邱若非 AHC003 Rep 2003-06-25
171 Rabinowitz, David M AHW502 Rep 2010-09-06
172 Raha, Arup ACZ725 Rep 2003-04-11
173 Ramanathan, Badrinath AHC211 Rep 2003-06-25
174 Rankin, Robert John 41 M AHA363 Rep 2003-06-25
175 Redbourn, Paul Robert (SFC:AFQ906) M AFQ906 Rep 2010-10-15
176 Robertson, James Hewitt M AIC253 Rep 2003-04-30
177 Robertson, Simon Montague M AGI097 Rep 2010-04-09
178 Rogers, Simon Andrew (SFC:ABF904) M ABF904 Rep 2003-09-05
179 Ross, Timothy Wakefield M AEX691 Rep 2005-05-03
180 Roth, Gunther James M AHC183 Rep 2003-06-25
181 Sanchez, Marlon Mikhail M ADJ822 Rep 2006-05-16
182 Saunders, Scott Antony M ADC081 RO 2005-05-20
183 Saxvik, Eric Bradley M ACR775 Rep 2012-04-13
184 Shah, Dimple (SFC:AIC117) AIC117 Rep 2003-04-30
185 Shieh, Ingrid AHA547 Rep 2004-04-29
186 Sim, Colin Ching Wern M AGN521 Rep 2007-06-14
187 Sinclair, Andrew Mark (SFC:AGP545) M AGP545 Rep 2004-04-18
188 Siu, Madeline Kor Man 蕭可敏 F AIO031 Rep 2003-06-25
189 Smith, Michael Thomas (SFC:AGL937) M AGL937 Rep 2003-06-25
190 So, Ferdinand 蘇平恩 AFO880 Rep 2004-03-26 2007-07-17
191 Sohn, Bill Eun-Seok M AHN695 Rep 2007-01-23
192 Spence, James Barclay M AAY347 Rep 2004-04-02
193 Stutsman, Andrea Jean F AGF487 Rep 2006-05-01
194 Suen, Benny Hung Kit 孫雄傑 M AIB797 Rep 2009-04-22
195 Sum, Hing Man 岑慶文 ABW145 Rep 2014-04-11
196 Sun, Lucy Shin Su 孫心樹 F AFE095 Rep 2003-05-15 2005-06-15
197 Sun, Steven John 孫常勝 47 M ACR153 Rep 2003-06-25
198 Tan, Lien Seng AFK584 Rep 2005-03-21
199 Tan, Nicholas Chye Seng (1973) 31 M AGP551 Rep 2004-05-31
200 Tan, Yew Boon 陳友文 AFS647 Rep 2004-05-04
201 Tay, Marcus Noel Chien Pheng M AIE131 Rep 2003-06-25
202 Taylor, Christopher Michael (SFC:AEC940) M AEC940 Rep 2003-04-15
203 Teh, Kihui AGC161 Rep 2003-06-25
204 Tetzlaff, Juergen AJL557 Rep 2004-02-12 2005-11-26
205 Thomas, Rebecca Judith F AHC210 Rep 2004-05-13
206 Tinker, Dylan Carlo 36 M ACC173 Rep 2005-04-11
207 Tse, Jaff Ka Wai 謝家威 ADR277 Rep 2003-04-10
208 Tse, Shirley Sze Wan 謝詩韻 F AFU564 Rep 2009-11-30
209 Tsui, Charles King 徐勁 M AGB114 Rep 2003-11-04
210 Villanueva, Bryan Uy 蘇龍 M AFJ228 Rep 2003-06-25
211 Volet, Raphael M AGS546 Rep 2004-04-02
212 Wadle, John Allen M AGS454 Rep 2009-04-07
213 Wan, Li (SFC:AHD514) 萬里 AHD514 Rep 2004-03-08
214 Wan, Ming Sun 尹明山 31 M AGW059 Rep 2004-02-26
215 Wang, Peng (SFC:AJM687) 王鵬 AJM687 Rep 2004-02-25 2004-12-14
216 Wang, Ren (SFC:AIB127) 汪韌 32 M AIB127 Rep 2003-06-25
217 Ward, Rodney Gordon 賀利華 60 M ACD837 RO 2003-06-25
218 Wareham, Olivia Louise F AJM694 Rep 2004-02-25 2004-07-06
219 Wee, Liang Sin AHK048 Rep 2003-05-30
220 Wei, Amy Mei 魏薇 F AFW953 Rep 2003-06-25
221 Wei, Ying (SFC:AJM685) 魏莹 AJM685 Rep 2004-02-25 2007-06-16
222 West, Colin Thomas M AFZ863 RO 2003-06-25
223 Williams, Mark Fraser M AGJ433 Rep 2003-06-25
224 Williams, Sian Elizabeth (SFC:ADT132) F ADT132 Rep 2004-05-28
225 Wong, Angel Po Kit 黃寶潔 AJK728 Rep 2004-01-30 2006-07-08
226 Wong, Constance 黃子欣 F ABR876 Rep 2008-05-24
227 Wong, Eric Chun Yu 王震宇 M AEU432 Rep 2011-03-10
228 Wong, Jenny Chieh Lu 王潔如 F AGL441 Rep 2006-06-17
229 Wong, Kenneth Hong Kit 黃匡傑 M AGA146 Rep 2003-06-25
230 Wong, Ronald Kwok Kit 黃國傑 M AEW968 Rep 2003-06-18
231 Wong, Stephen (SFC:AJO207) 黃錦豪 M AJO207 Rep 2004-03-19 2008-04-30
232 Wong, Steven Siu Kee 黃紹基 M AGC687 Rep 2003-06-25
233 Woodland, Emily Jane F AJE851 Rep 2003-10-14 2012-03-19
234 Wooldridge, Duncan Samuel M AEU633 Rep 2003-06-27 2017-06-10
235 Wu, Chi Wai (SFC:AIQ683) 胡志威 AIQ683 Rep 2011-10-24
236 Wu, Hai Feng (SFC:ADI733) 吳海鋒 ADI733 Rep 2004-03-01 2009-01-10
237 Wu, James Yun M AGN747 Rep 2009-05-13
238 Wu, Samuel Shung Shan 鄔崇山 M AIG147 Rep 2003-06-25
239 Xiao, Qing (SFC:AFE509) 肖清 AFE509 Rep 2003-06-25
240 Yang, Heidi Hoi Ti 楊凱蒂 34 F ACJ627 Rep 2003-05-09 2004-07-06
241 Yang, Kai (SFC:ADW509) 楊凱 ADW509 Rep 2004-07-01
242 Yang, Yaqi 楊亞琦 AHZ627 Rep 2003-06-25
243 Yin, He 尹賀 AJM689 Rep 2004-02-25 2007-06-16
244 Yip, Shuk Ling 葉淑玲 AEA526 Rep 2009-12-03
245 Yoon, Benjamin Hyung M AGV233 Rep 2003-04-16
246 Yoon, Chi Won ACN181 Rep 2003-09-15
RO 2003-09-15 2005-06-09
247 Yu, Jason Wah Chiu 余華超 M AAD859 RO 2005-03-24
248 Yu, Kok Leung 余國良 AGI779 Rep 2006-03-12
249 Yu, Ming Lai 余明麗 AFU845 Rep 2003-06-02
250 Yuen, Nicole Shuk Kam 袁淑琴 42 F ACH708 RO 2005-03-24
251 Yung, Tak Man (SFC:AHK660) 翁德敏 AHK660 Rep 2014-06-10
252 Zhang, Joe Hua Qiao 張化橋 41 M ACY687 Rep 2006-03-23
253 Zhang, Ning (SFC:AGD246) 張宁 36 M AGD246 Rep 2004-03-11
254 Zhang, Yi (SFC:AJN700) 張毅 AJN700 Rep 2004-03-11 2005-05-03
255 Zhu, Lei (SFC:AIU660) 朱雷 M AIU660 Rep 2003-05-21 2003-07-03
256 Zhu, Wenqian (SFC:AHD643) 朱文倩 AHD643 Rep 2003-06-25

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