MIZUHO SECURITIES ASIA LIMITED 瑞穗證券亞洲有限公司

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SFC licensees

RO=Responsible Officer, Rep=Representative

Name Age in
2014
SFC ID Role From Until
1 Akiyama, Norifumi 秋山典文 BDM900 RO 2014-06-27 2018-05-23
2 Andersson, Paul Jonathan M AVL477 RO 2014-06-06 2016-02-15
3 Antos, James R M AIR845 Rep 2009-10-12 2015-12-14
4 Anzai, Takehiro M AZJ383 Rep 2013-09-02 2019-06-13
5 Atkinson, Neil David M AVL149 Rep 2010-07-22 2017-07-04
6 Awanohara, Naoko 栗野原名緒子 AWE541 Rep 2010-11-02 2014-10-28
7 Bayford, Neil Christopher M AZD631 Rep 2012-04-02 2021-04-28
8 Carlone, Thomas M AMJ337 Rep 2013-12-19 2017-06-05
9 Chan, Andrew Shingfun 陳盛勳 M AMC389 Rep 2011-07-25 2016-10-28
10 Chan, Elgin Hiang Wei 曾憲偉 AOV932 Rep 2010-06-23 2018-12-05
11 Chan, Keith Kam 陳錦富 M AXG331 Rep 2011-12-22 2015-01-30
12 Chan, Stephen Shek Kei 陳碩基 M AJE088 Rep 2006-09-15 2015-04-28
13 Chan, Yen Ping 曾彥彬 AZD626 Rep 2012-03-14 2014-12-17
14 Chang, Yu-Ling 張育菱 AYG335 Rep 2011-10-19 2014-09-12
15 Chen, Yung-hao 陳永豪 AWC264 Rep 2013-05-06 2018-06-01
16 Cheng, Dickson 鄭迪舜 45 M AGP527 RO 2008-12-16 2016-08-12
17 Cheung, Cherry Chi Wing 張芷穎 F AWO028 Rep 2010-12-24 2015-11-30
18 Cho, Ichio 張一歐 AWE957 Rep 2010-11-05 2017-04-07
19 Churchill, James Edward M APO559 Rep 2014-06-09 2017-07-05
20 Connery, Anthony Sean (SFC:AXV752) M AXV752 RO 2012-07-30 2020-09-30
21 Davis, Bernard Steven M AWZ387 Rep 2011-11-22 2019-01-15
22 Endo, Takashi (SFC:BDM015) M BDM015 Rep 2014-05-30 2016-09-26
23 Farman, Daniel Noel George M ARN747 Rep 2013-01-03 2015-07-30
24 Fong, Ada Wai Yin 方慧賢 F AMU659 Rep 2007-02-12 2015-04-15
25 Goto, Fumihide AOR367 Rep 2014-01-24
26 Hanaya, Takeru 花屋武 BBS846 Rep 2013-08-16 2015-04-17
27 Hashimoto, Yoshihiro M BCH676 Rep 2013-11-20
28 Hayashi, Akifumi M BAL556 Rep 2013-09-13 2017-10-18
29 Hayashi, Rie BAW621 Rep 2013-10-07 2016-03-31
30 Heung, May Yin 香美賢 F AOT605 Rep 2013-11-22 2020-11-26
31 Hirata, Rie 平田理惠 BBB199 Rep 2013-04-03 2020-12-31
32 Hironaka, Yu 弘中雄 BBD159 Rep 2013-04-17 2016-03-07
33 Ho, Richard Lai Hong 何麗康 57 M BBS632 Rep 2013-08-16 2015-06-29
34 Hori, Yusuke BAE890 Rep 2013-09-13
35 Horikoshi, Kosuke 堀越康佑 BDJ461 Rep 2014-05-07 2014-11-17
36 Horton, Shaun Yi-Ming BDI334 Rep 2014-04-25
37 Hosaka, Yuya BBD362 Rep 2013-04-17 2015-05-09
38 Hui, Ole Hiu Tung 許曉東 ARR518 Rep 2011-08-11 2015-06-11
39 Iwasa, Shinsuke AMP190 Rep 2013-09-13 2022-08-29
40 Jin, Zengxiang 金增祥 ARO631 Rep 2011-07-13 2016-11-02
41 Kaneshige, Hirou 金重博宇 ARD681 Rep 2011-12-16 2025-09-19
42 Kato, Katsuhito 加藤勝仁 AMF766 Rep 2014-06-17 2023-10-13
43 Kavanagh, Ruvann John M ARW149 Rep 2011-04-26 2019-09-17
44 Kawauchi, Eijiro AST137 RO 2010-11-10 2015-04-28
45 Kayama, Hitoshi 香山仁 AHQ974 RO 2009-01-05 2015-03-23
46 Kikuchi, Masatoshi BAG217 Rep 2013-09-19
47 Kim, Jason Yong M ARF013 Rep 2014-05-30 2016-10-28
48 Kim, Jong Kuk 金鍾局 AFC107 RO 2012-07-20 2017-07-24
49 Kim, Ki Soo AFJ899 Rep 2010-11-23 2015-09-11
50 Kim, Vincent Taeho M BDP113 Rep 2014-06-18 2018-08-15
51 Kitaoka, Tomochika AMM472 Rep 2013-10-03 2017-12-31
52 Ko, Yuen Na 高遠娜 BBE953 Rep 2013-05-02 2014-07-17
53 Koyama, Takeshi M BAL421 Rep 2013-09-16
54 Lam, King Sau (SFC:BAI839) 林勁秀 BAI839 Rep 2012-11-01 2017-05-05
55 Lau, Kelvin Siu Ki 劉紹基 M AAW465 RO 2009-03-03 2016-05-24
56 Lee, Bong Tae 李鳳泰 AQP646 Rep 2014-05-13 2017-06-05
57 Lee, Seunghwan 李承桓 AYA209 Rep 2011-09-14 2023-06-06
58 Lee, Yick Chung 李易聰 AEE525 Rep 2013-01-21
59 Leung, Jason Chak Hay 梁澤熹 M AQJ874 Rep 2012-05-22 2021-05-10
60 Leung, Wai Nam 梁偉南 AGH932 RO 2008-11-03 2016-06-22
61 Lo, Loretta Shuk Yan 羅淑茵 F AMI340 Rep 2013-10-25 2019-11-05
62 Lo, Ming Hung 盧銘雄 ADY707 Rep 2013-07-17 2020-11-26
63 Luk, Yin Wang 陸彥泓 AMS602 Rep 2010-12-15 2017-12-06
64 Ma, Hon Kin 馬漢堅 AQS325 Rep 2011-06-15 2018-03-02
65 MacAloon, John Joseph M AVF623 Rep 2014-01-30 2018-08-29
66 Matsuda, Hiroshi (SFC:BAX539) M BAX539 Rep 2014-02-12
67 Matsuo, Hidetaku 松尾秀拓 AZL647 Rep 2012-05-14 2016-08-24
68 McKeever, Stephen James M AFH236 Rep 2014-05-30 2016-10-28
69 McWilliam, Paul David (SFC:ATR977) M ATR977 RO 2011-11-15 2015-10-16
70 Miura, Yutaka BBI890 Rep 2013-09-18
71 Miyaoka, Seiichiro BBI892 RO 2013-07-12 2016-04-01
72 Moon, Jung Hye AXP431 Rep 2011-07-11 2017-05-23
73 Moriwaki, Takashi M AQU580 Rep 2014-02-20 2019-01-14
74 Nagayoshi, Hayato M BCW504 Rep 2014-02-14 2025-02-28
75 Nakamura, Wataru BCW485 Rep 2014-02-12 2016-01-11
76 Nakata, Shusuke ARR934 Rep 2014-01-13 2022-08-31
77 Nomoto, Masayuki AXA146 RO 2012-08-09 2015-04-15
78 Okubo, Takao BBK700 RO 2013-08-16 2016-04-15
79 Osade, Yohei BBH613 Rep 2013-07-05 2023-03-31
80 Otani, Tomono 大谷知乃 AIT881 Rep 2007-07-31 2020-11-26
81 Park, Charles Chansik M AME470 RO 2014-05-14 2016-12-31
82 Pelham, Miles Christian 36 M APL696 Rep 2013-09-05 2017-11-30
83 Peng, Szu-Wei 彭思瑋 AOZ126 Rep 2013-02-15 2015-03-28
84 Pereira, Kevin Edmond M AML699 RO 2011-01-13 2014-07-09
85 Pervez, Ahsan (SFC:AJO361) AJO361 Rep 2013-07-02 2015-01-30
86 Ras, Andrew Abbott M AIV715 Rep 2014-06-09 2014-07-31
87 Reade, Mark Donald M BCC920 Rep 2013-11-15
88 Rowe, Damian Marcus M ASH901 RO 2014-05-20
89 Ryu, Tantan AQQ257 Rep 2013-08-02 2015-08-31
90 Saji, Hiroshi M BBL400 Rep 2013-12-05
91 Sakaguchi, Tairiku BAG216 Rep 2013-10-03
92 Sakurada, Junji BAL557 Rep 2013-09-13 2015-06-02
93 Sato, Wakako BBI874 Rep 2013-09-19 2019-03-27
94 See, Eric Wee Phing 施威斌 M AQU543 Rep 2010-03-09 2014-08-11
95 Shen, Jian Guang 沈建光 APV792 RO 2012-09-18 2018-07-25
96 Shinya, Norimasa BAV889 Rep 2014-01-24
97 Shum, Anthony Chi-chung 岑志中 M AFR216 Rep 2012-10-22 2016-02-01
98 Shuto, Takashi AUT376 Rep 2010-02-23 2015-04-10
99 Skeet, Kevin Ewart M AXH409 Rep 2011-06-08 2021-04-21
100 Soh, David M AEI247 Rep 2014-05-30 2019-11-05
101 Sugibuchi, Hitoshi AFV308 Rep 2014-10-10
102 Suzuki, Hiroyuki (SFC:BBV019) M BBV019 Rep 2013-09-13 2024-06-28
103 Suzuki, Katsuhiko BDD174 Rep 2014-03-19
104 Szeto, Yuen Yee 司徒婉儀 ANJ402 Rep 2006-05-10
105 Takahashi, Kei AOQ614 Rep 2013-09-18 2017-11-18
106 Takahashi, Toshio BAC022 Rep 2014-02-12
107 Tanaka, Eiji 田中榮治 AQY208 Rep 2010-08-18 2014-09-07
108 Tanaka, Hiroshi (SFC:BAF821) M BAF821 Rep 2013-09-13
109 Tanaka, Takeshi (SFC:BAQ387) 田中健士 M BAQ387 Rep 2014-02-12
110 Tang, Peter Jee Ho 鄧志豪 M ACP853 Rep 2010-02-01 2017-10-17
111 Toba, Toshihiko 鳥羽俊彥 AXK330 RO 2013-10-22 2016-04-15
112 Truelove, Keith Alan M AWF626 Rep 2013-09-16 2015-10-31
113 Tsang, Chi Kit 曾志傑 33 M ANU401 Rep 2006-10-13 2015-01-30
114 Tse, Sze Ming 謝思明 ALR679 Rep 2009-01-13 2014-10-29
115 Ujihara, Yoshihiro M BBP909 Rep 2013-09-19 2020-03-13
116 Wakae, Masanori BBB065 Rep 2013-09-13 2022-09-01
117 Wakimoto, Hiroyuki 脇本博之 AZV012 Rep 2012-07-03 2017-02-28
118 Wang, Jin (SFC:BAD901) 王瑾 BAD901 Rep 2012-09-12 2014-07-04
119 Wang, Tianyu (SFC:BDP115) 王天予 BDP115 Rep 2014-06-19 2015-07-01
120 Wang, Yanhan 王彥涵 BCK851 Rep 2013-12-06 2017-06-30
121 Ward, Simon Anthony (SFC:BBQ753) M BBQ753 Rep 2013-07-31
122 Watanabe, Hidekatsu BAP098 Rep 2013-09-18
123 Wong, Benny Wing Pan 黃穎斌 M AQO246 Rep 2008-02-28 2020-07-30
124 Yabumoto, Yusuke BAZ169 Rep 2013-09-18 2016-08-31
125 Yamashita, Hajime BBP359 RO 2014-05-19 2015-10-31
126 Yeh, Hao-Ting 葉皓婷 BAC177 Rep 2014-06-06 2023-06-06
127 Yeo, Jeremy Wei-Min 楊偉民 M AXS670 Rep 2011-08-01 2018-08-20
128 Yim, Christopher Seeching 嚴司政 M AWP270 Rep 2011-01-05 2015-08-23
129 Yoshida, Atsushi BAE887 Rep 2013-09-13
130 Yoshida, Kengo 吉田劍悟 AVP035 Rep 2010-08-02 2018-10-31
131 Yuan, Chengwei 袁誠尉 BCC922 Rep 2013-10-25 2015-03-06
132 Zhang, Xiaoshi 張笑石 AYN539 Rep 2013-06-14 2015-06-10
133 Zhou, Yifeng (SFC:AVD686) 周一楓 AVD686 Rep 2013-11-05 2015-06-02

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