These are the licence-holders that were found for SFC licence institution ADF849 on the SFC website.
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Key for Role: RE = Respresentative, RO = Responsible Officer
| SFC code | English name | Chinese name | Role | Activity | Start date | End date |
|---|---|---|---|---|---|---|
| ABA459 | USHIYAMA Masaharu | 牛山政治 | RE | Advising on Securities | 2009-04-09 | 2010-05-01 |
| ABA459 | USHIYAMA Masaharu | 牛山政治 | RE | Asset Management | 2009-05-08 | 2010-05-01 |
| ABF181 | CHAN Chun Wah | 陳振華 | RE | Advising on Securities | 2003-04-01 | 2013-09-05 |
| ABF181 | CHAN Chun Wah | 陳振華 | RO | Advising on Securities | 2013-09-05 | 2014-03-14 |
| ABF181 | CHAN Chun Wah | 陳振華 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-23 |
| ABF181 | CHAN Chun Wah | 陳振華 | RE | Asset Management | 2003-04-01 | 2013-09-05 |
| ABF181 | CHAN Chun Wah | 陳振華 | RO | Asset Management | 2013-09-05 | 2014-03-14 |
| ABP498 | BOJAN David Robert | RO | Advising on Securities | 2003-04-01 | ||
| ABP498 | BOJAN David Robert | RO | Advising on Corporate Finance | 2003-04-01 | 2005-02-23 | |
| ABP498 | BOJAN David Robert | RO | Asset Management | 2003-04-01 | ||
| ABV213 | DICKSON Charles Henry | RO | Advising on Securities | 2005-07-08 | 2014-09-01 | |
| ABV213 | DICKSON Charles Henry | RO | Asset Management | 2005-07-08 | 2014-09-01 | |
| ABZ225 | NUTBEAM Melanie Jane | RE | Advising on Securities | 2012-01-09 | ||
| ABZ225 | NUTBEAM Melanie Jane | RE | Asset Management | 2012-02-24 | ||
| ADE566 | KETTERER Edward | 何猷良 | RE | Advising on Securities | 2008-04-18 | 2008-04-28 |
| ADF368 | CHAN Kwok Lung | 陳國龍 | RE | Advising on Securities | 2005-12-13 | 2009-09-23 |
| ADF368 | CHAN Kwok Lung | 陳國龍 | RE | Asset Management | 2005-12-13 | 2009-09-23 |
| AFB360 | CHAN Koon Har | 陳貫霞 | RE | Advising on Securities | 2011-10-24 | |
| AFE743 | WONG Pui Chun | 黃佩珍 | RE | Advising on Securities | 2003-04-01 | 2005-03-31 |
| AFE743 | WONG Pui Chun | 黃佩珍 | RE | Advising on Securities | 2005-08-30 | 2006-10-27 |
| AFE743 | WONG Pui Chun | 黃佩珍 | RE | Advising on Corporate Finance | 2003-04-01 | 2005-02-23 |
| AFE743 | WONG Pui Chun | 黃佩珍 | RE | Asset Management | 2003-04-01 | 2005-03-31 |
| AFE743 | WONG Pui Chun | 黃佩珍 | RE | Asset Management | 2005-08-30 | 2006-10-27 |
| AFG626 | SMITH Ross Allen | RE | Advising on Securities | 2007-01-22 | 2007-10-17 | |
| AFG626 | SMITH Ross Allen | RE | Asset Management | 2007-01-22 | 2007-10-17 | |
| AHT111 | SLEE Amanda Dawn | RE | Advising on Securities | 2003-04-01 | 2003-09-10 | |
| AHT111 | SLEE Amanda Dawn | RE | Advising on Corporate Finance | 2003-04-01 | 2003-09-10 | |
| AHT111 | SLEE Amanda Dawn | RE | Asset Management | 2003-04-01 | 2003-09-10 | |
| AHT112 | HARKINS Clifford John | RE | Advising on Securities | 2003-04-01 | 2003-04-30 | |
| AHT112 | HARKINS Clifford John | RE | Advising on Corporate Finance | 2003-04-01 | 2003-04-30 | |
| AHT112 | HARKINS Clifford John | RE | Asset Management | 2003-04-01 | 2003-04-30 | |
| AIH461 | TAYLOR Brian Anthony | RE | Advising on Securities | 2010-02-08 | ||
| AIH461 | TAYLOR Brian Anthony | RE | Asset Management | 2010-02-08 | ||
| AIZ236 | KWAN Yuk Hing | 關玉卿 | RE | Asset Management | 2003-06-26 | 2005-07-22 |
| AJK956 | STUCHBERY Garry Maxwell | RE | Advising on Securities | 2007-06-12 | 2009-03-16 | |
| AJK956 | STUCHBERY Garry Maxwell | RE | Asset Management | 2007-07-23 | 2009-03-16 | |
| AME527 | OU Ofra Sueh Hung | 歐雪虹 | RE | Advising on Securities | 2005-08-02 | 2010-05-07 |
| AME527 | OU Ofra Sueh Hung | 歐雪虹 | RE | Asset Management | 2007-09-25 | 2010-05-07 |
| AMY504 | CHAN Chi Kong | 陳子江 | RE | Advising on Securities | 2007-12-03 | 2008-02-19 |
| ANW356 | TOTKOVA Deliana Gueorguieva | RE | Advising on Securities | 2008-12-19 | 2010-02-08 | |
| ANW356 | TOTKOVA Deliana Gueorguieva | RE | Asset Management | 2009-09-15 | 2010-02-08 | |
| AOQ850 | CELATA Denis | RO | Advising on Securities | 2007-03-28 | 2009-12-11 | |
| AOQ850 | CELATA Denis | RO | Asset Management | 2007-03-28 | 2009-12-11 | |
| ARD650 | MAN Pok Luen | RE | Advising on Securities | 2008-07-08 | 2008-07-18 | |
| AUI205 | HONGSUWAN Natravee | 張雪 | RE | Advising on Securities | 2009-12-14 | 2010-05-07 |
| AWA163 | CHUNG Yin Fong, Idy | 鍾燕芳 | RE | Advising on Securities | 2013-12-09 | |
| AWA163 | CHUNG Yin Fong, Idy | 鍾燕芳 | RE | Asset Management | 2013-12-09 | |
| BAN048 | ROBERTS Michael Brady | RE | Advising on Securities | 2013-01-15 | 2014-08-11 | |
| BAN048 | ROBERTS Michael Brady | RO | Advising on Securities | 2014-08-11 | ||
| BAN048 | ROBERTS Michael Brady | RE | Asset Management | 2013-01-15 | 2014-08-11 | |
| BAN048 | ROBERTS Michael Brady | RO | Asset Management | 2014-08-11 | ||
| BFD480 | COUCH Gordon | RE | Advising on Securities | 2015-03-25 | 2015-10-05 | |
| BFD480 | COUCH Gordon | RO | Advising on Securities | 2015-10-05 | 2016-04-13 | |
| BFD480 | COUCH Gordon | RE | Asset Management | 2015-03-25 | 2015-10-05 | |
| BFD480 | COUCH Gordon | RO | Asset Management | 2015-10-05 | 2016-04-22 |
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