SMBC Nikko Securities (Hong Kong) Limited 日興證券（香港）有限公司
This page shows the historic number of SFC licensees for a firm. Licensees are either Responsible Officers (ROs) or Representatives (Reps). When Activity is set to "All", we treat a person who holds both roles (in different activities) as an RO. The Reps v total is a measure of how bottom-heavy a firm is, because the ROs are supposed to supervise the Reps. For other firms, click here. For the total in all firms, click here. Note that due to a transitional period which ended on 31-Mar-2005, many licenses in some activities were surrendered or not extended beyond that date.
| Date | ROs | Reps | Total | Reps v total |
|---|---|---|---|---|
| 2024-05-30 | 10 | 68 | 78 | 87.18% |
| 2024-04-30 | 9 | 67 | 76 | 88.16% |
| 2024-03-31 | 9 | 67 | 76 | 88.16% |
| 2024-02-29 | 9 | 65 | 74 | 87.84% |
| 2024-01-31 | 8 | 61 | 69 | 88.41% |
| 2023-12-31 | 8 | 52 | 60 | 86.67% |
| 2023-11-30 | 8 | 52 | 60 | 86.67% |
| 2023-10-31 | 9 | 54 | 63 | 85.71% |
| 2023-09-30 | 9 | 50 | 59 | 84.75% |
| 2023-08-31 | 9 | 51 | 60 | 85.00% |
| 2023-07-31 | 9 | 50 | 59 | 84.75% |
| 2023-06-30 | 9 | 50 | 59 | 84.75% |
| 2023-05-31 | 9 | 48 | 57 | 84.21% |
| 2023-04-30 | 9 | 45 | 54 | 83.33% |
| 2023-03-31 | 9 | 46 | 55 | 83.64% |
| 2023-02-28 | 10 | 45 | 55 | 81.82% |
| 2023-01-31 | 10 | 45 | 55 | 81.82% |
| 2022-12-31 | 11 | 45 | 56 | 80.36% |
| 2022-11-30 | 11 | 45 | 56 | 80.36% |
| 2022-10-31 | 11 | 44 | 55 | 80.00% |
| 2022-09-30 | 10 | 45 | 55 | 81.82% |
| 2022-08-31 | 11 | 43 | 54 | 79.63% |
| 2022-07-31 | 12 | 43 | 55 | 78.18% |
| 2022-06-30 | 12 | 41 | 53 | 77.36% |
| 2022-05-31 | 11 | 39 | 50 | 78.00% |
| 2022-04-30 | 13 | 37 | 50 | 74.00% |
| 2022-03-31 | 11 | 39 | 50 | 78.00% |
| 2022-02-28 | 11 | 39 | 50 | 78.00% |
| 2022-01-31 | 11 | 36 | 47 | 76.60% |
| 2021-12-31 | 11 | 36 | 47 | 76.60% |
| 2021-11-30 | 11 | 38 | 49 | 77.55% |
| 2021-10-31 | 11 | 39 | 50 | 78.00% |
| 2021-09-30 | 11 | 40 | 51 | 78.43% |
| 2021-08-31 | 11 | 41 | 52 | 78.85% |
| 2021-07-31 | 11 | 41 | 52 | 78.85% |
| 2021-06-30 | 11 | 40 | 51 | 78.43% |
| 2021-05-31 | 10 | 44 | 54 | 81.48% |
| 2021-04-30 | 10 | 43 | 53 | 81.13% |
| 2021-03-31 | 10 | 40 | 50 | 80.00% |
| 2021-02-28 | 11 | 40 | 51 | 78.43% |
| 2021-01-31 | 11 | 38 | 49 | 77.55% |
| 2020-12-31 | 10 | 38 | 48 | 79.17% |
| 2020-11-30 | 10 | 38 | 48 | 79.17% |
| 2020-10-31 | 8 | 40 | 48 | 83.33% |
| 2020-09-30 | 10 | 40 | 50 | 80.00% |
| 2020-08-31 | 10 | 40 | 50 | 80.00% |
| 2020-07-31 | 10 | 38 | 48 | 79.17% |
| 2020-06-30 | 11 | 38 | 49 | 77.55% |
| 2020-05-31 | 12 | 38 | 50 | 76.00% |
| 2020-04-30 | 11 | 38 | 49 | 77.55% |
| 2020-03-31 | 12 | 38 | 50 | 76.00% |
| 2020-02-29 | 12 | 36 | 48 | 75.00% |
| 2020-01-31 | 11 | 36 | 47 | 76.60% |
| 2019-12-31 | 11 | 35 | 46 | 76.09% |
| 2019-11-30 | 10 | 36 | 46 | 78.26% |
| 2019-10-31 | 11 | 35 | 46 | 76.09% |
| 2019-09-30 | 11 | 35 | 46 | 76.09% |
| 2019-08-31 | 10 | 41 | 51 | 80.39% |
| 2019-07-31 | 10 | 41 | 51 | 80.39% |
| 2019-06-30 | 11 | 38 | 49 | 77.55% |
| 2019-05-31 | 12 | 38 | 50 | 76.00% |
| 2019-04-30 | 12 | 40 | 52 | 76.92% |
| 2019-03-31 | 12 | 40 | 52 | 76.92% |
| 2019-02-28 | 12 | 40 | 52 | 76.92% |
| 2019-01-31 | 12 | 43 | 55 | 78.18% |
| 2018-12-31 | 12 | 39 | 51 | 76.47% |
| 2018-11-30 | 12 | 38 | 50 | 76.00% |
| 2018-10-31 | 12 | 37 | 49 | 75.51% |
| 2018-09-30 | 12 | 38 | 50 | 76.00% |
| 2018-08-31 | 12 | 36 | 48 | 75.00% |
| 2018-07-31 | 12 | 37 | 49 | 75.51% |
| 2018-06-30 | 14 | 36 | 50 | 72.00% |
| 2018-05-31 | 13 | 36 | 49 | 73.47% |
| 2018-04-30 | 12 | 34 | 46 | 73.91% |
| 2018-03-31 | 12 | 33 | 45 | 73.33% |
| 2018-02-28 | 12 | 31 | 43 | 72.09% |
| 2018-01-31 | 12 | 31 | 43 | 72.09% |
| 2017-12-31 | 13 | 28 | 41 | 68.29% |
| 2017-11-30 | 12 | 29 | 41 | 70.73% |
| 2017-10-31 | 11 | 30 | 41 | 73.17% |
| 2017-09-30 | 11 | 29 | 40 | 72.50% |
| 2017-08-31 | 11 | 29 | 40 | 72.50% |
| 2017-07-31 | 11 | 27 | 38 | 71.05% |
| 2017-06-30 | 11 | 28 | 39 | 71.79% |
| 2017-05-31 | 11 | 28 | 39 | 71.79% |
| 2017-04-30 | 11 | 28 | 39 | 71.79% |
| 2017-03-31 | 11 | 28 | 39 | 71.79% |
| 2017-02-28 | 11 | 28 | 39 | 71.79% |
| 2017-01-31 | 11 | 28 | 39 | 71.79% |
| 2016-12-31 | 11 | 26 | 37 | 70.27% |
| 2016-11-30 | 11 | 26 | 37 | 70.27% |
| 2016-10-31 | 11 | 26 | 37 | 70.27% |
| 2016-09-30 | 11 | 26 | 37 | 70.27% |
| 2016-08-31 | 11 | 27 | 38 | 71.05% |
| 2016-07-31 | 11 | 28 | 39 | 71.79% |
| 2016-06-30 | 11 | 28 | 39 | 71.79% |
| 2016-05-31 | 11 | 29 | 40 | 72.50% |
| 2016-04-30 | 11 | 28 | 39 | 71.79% |
| 2016-03-31 | 11 | 27 | 38 | 71.05% |
| 2016-02-29 | 10 | 27 | 37 | 72.97% |
| 2016-01-31 | 10 | 26 | 36 | 72.22% |
| 2015-12-31 | 10 | 26 | 36 | 72.22% |
| 2015-11-30 | 10 | 26 | 36 | 72.22% |
| 2015-10-31 | 10 | 25 | 35 | 71.43% |
| 2015-09-30 | 10 | 25 | 35 | 71.43% |
| 2015-08-31 | 10 | 23 | 33 | 69.70% |
| 2015-07-31 | 10 | 24 | 34 | 70.59% |
| 2015-06-30 | 10 | 23 | 33 | 69.70% |
| 2015-05-31 | 10 | 22 | 32 | 68.75% |
| 2015-04-30 | 10 | 22 | 32 | 68.75% |
| 2015-03-31 | 10 | 24 | 34 | 70.59% |
| 2015-02-28 | 10 | 24 | 34 | 70.59% |
| 2015-01-31 | 9 | 25 | 34 | 73.53% |
| 2014-12-31 | 9 | 25 | 34 | 73.53% |
| 2014-11-30 | 9 | 25 | 34 | 73.53% |
| 2014-10-31 | 9 | 25 | 34 | 73.53% |
| 2014-09-30 | 8 | 25 | 33 | 75.76% |
| 2014-08-31 | 8 | 26 | 34 | 76.47% |
| 2014-07-31 | 8 | 26 | 34 | 76.47% |
| 2014-06-30 | 7 | 24 | 31 | 77.42% |
| 2014-05-31 | 7 | 21 | 28 | 75.00% |
| 2014-04-30 | 7 | 21 | 28 | 75.00% |
| 2014-03-31 | 7 | 22 | 29 | 75.86% |
| 2014-02-28 | 8 | 21 | 29 | 72.41% |
| 2014-01-31 | 8 | 21 | 29 | 72.41% |
| 2013-12-31 | 8 | 20 | 28 | 71.43% |
| 2013-11-30 | 8 | 20 | 28 | 71.43% |
| 2013-10-31 | 8 | 20 | 28 | 71.43% |
| 2013-09-30 | 8 | 20 | 28 | 71.43% |
| 2013-08-31 | 8 | 21 | 29 | 72.41% |
| 2013-07-31 | 8 | 21 | 29 | 72.41% |
| 2013-06-30 | 8 | 20 | 28 | 71.43% |
| 2013-05-31 | 8 | 20 | 28 | 71.43% |
| 2013-04-30 | 8 | 19 | 27 | 70.37% |
| 2013-03-31 | 8 | 21 | 29 | 72.41% |
| 2013-02-28 | 9 | 22 | 31 | 70.97% |
| 2013-01-31 | 9 | 22 | 31 | 70.97% |
| 2012-12-31 | 9 | 22 | 31 | 70.97% |
| 2012-11-30 | 8 | 24 | 32 | 75.00% |
| 2012-10-31 | 8 | 23 | 31 | 74.19% |
| 2012-09-30 | 9 | 22 | 31 | 70.97% |
| 2012-08-31 | 9 | 22 | 31 | 70.97% |
| 2012-07-31 | 9 | 22 | 31 | 70.97% |
| 2012-06-30 | 6 | 22 | 28 | 78.57% |
| 2012-05-31 | 6 | 22 | 28 | 78.57% |
| 2012-04-30 | 6 | 21 | 27 | 77.78% |
| 2012-03-31 | 5 | 22 | 27 | 81.48% |
| 2012-02-29 | 5 | 24 | 29 | 82.76% |
| 2012-01-31 | 5 | 23 | 28 | 82.14% |
| 2011-12-31 | 5 | 23 | 28 | 82.14% |
| 2011-11-30 | 5 | 21 | 26 | 80.77% |
| 2011-10-31 | 5 | 22 | 27 | 81.48% |
| 2011-09-30 | 5 | 21 | 26 | 80.77% |
| 2011-08-31 | 5 | 22 | 27 | 81.48% |
| 2011-07-31 | 5 | 20 | 25 | 80.00% |
| 2011-06-30 | 5 | 17 | 22 | 77.27% |
| 2011-05-31 | 4 | 11 | 15 | 73.33% |
| 2011-04-30 | 4 | 10 | 14 | 71.43% |
| 2011-03-31 | 4 | 6 | 10 | 60.00% |
| 2011-02-28 | 4 | 8 | 12 | 66.67% |
| 2011-01-31 | 4 | 8 | 12 | 66.67% |
| 2010-12-31 | 2 | 5 | 7 | 71.43% |
| 2010-11-30 | 2 | 4 | 6 | 66.67% |
| 2010-10-31 | 2 | 4 | 6 | 66.67% |
| 2010-09-30 | 5 | 2 | 7 | 28.57% |
| 2010-08-31 | 5 | 2 | 7 | 28.57% |
| 2010-07-31 | 5 | 2 | 7 | 28.57% |
| 2010-06-30 | 5 | 2 | 7 | 28.57% |
| 2010-05-31 | 5 | 2 | 7 | 28.57% |
| 2010-04-30 | 5 | 2 | 7 | 28.57% |
| 2010-03-31 | 5 | 2 | 7 | 28.57% |
| 2010-02-28 | 5 | 2 | 7 | 28.57% |
| 2010-01-31 | 5 | 2 | 7 | 28.57% |
| 2009-12-31 | 5 | 2 | 7 | 28.57% |
| 2009-11-30 | 5 | 2 | 7 | 28.57% |
| 2009-10-31 | 5 | 2 | 7 | 28.57% |
| 2009-09-30 | 5 | 2 | 7 | 28.57% |
| 2009-08-31 | 5 | 2 | 7 | 28.57% |
| 2009-07-31 | 5 | 2 | 7 | 28.57% |
| 2009-06-30 | 5 | 2 | 7 | 28.57% |
| 2009-05-31 | 5 | 2 | 7 | 28.57% |
| 2009-04-30 | 5 | 2 | 7 | 28.57% |
| 2009-03-31 | 5 | 3 | 8 | 37.50% |
| 2009-02-28 | 5 | 4 | 9 | 44.44% |
| 2009-01-31 | 5 | 4 | 9 | 44.44% |
| 2008-12-31 | 5 | 4 | 9 | 44.44% |
| 2008-11-30 | 5 | 5 | 10 | 50.00% |
| 2008-10-31 | 6 | 5 | 11 | 45.45% |
| 2008-09-30 | 6 | 6 | 12 | 50.00% |
| 2008-08-31 | 5 | 6 | 11 | 54.55% |
| 2008-07-31 | 5 | 6 | 11 | 54.55% |
| 2008-06-30 | 5 | 6 | 11 | 54.55% |
| 2008-05-31 | 5 | 6 | 11 | 54.55% |
| 2008-04-30 | 5 | 7 | 12 | 58.33% |
| 2008-03-31 | 5 | 7 | 12 | 58.33% |
| 2008-02-29 | 4 | 7 | 11 | 63.64% |
| 2008-01-31 | 4 | 7 | 11 | 63.64% |
| 2007-12-31 | 4 | 7 | 11 | 63.64% |
| 2007-11-30 | 4 | 6 | 10 | 60.00% |
| 2007-10-31 | 4 | 7 | 11 | 63.64% |
| 2007-09-30 | 4 | 8 | 12 | 66.67% |
| 2007-08-31 | 4 | 10 | 14 | 71.43% |
| 2007-07-31 | 4 | 10 | 14 | 71.43% |
| 2007-06-30 | 4 | 11 | 15 | 73.33% |
| 2007-05-31 | 4 | 9 | 13 | 69.23% |
| 2007-04-30 | 4 | 8 | 12 | 66.67% |
| 2007-03-31 | 4 | 8 | 12 | 66.67% |
| 2007-02-28 | 4 | 8 | 12 | 66.67% |
| 2007-01-31 | 4 | 8 | 12 | 66.67% |
| 2006-12-31 | 3 | 8 | 11 | 72.73% |
| 2006-11-30 | 3 | 6 | 9 | 66.67% |
| 2006-10-31 | 3 | 6 | 9 | 66.67% |
| 2006-09-30 | 3 | 7 | 10 | 70.00% |
| 2006-08-31 | 3 | 7 | 10 | 70.00% |
| 2006-07-31 | 3 | 7 | 10 | 70.00% |
| 2006-06-30 | 3 | 7 | 10 | 70.00% |
| 2006-05-31 | 3 | 7 | 10 | 70.00% |
| 2006-04-30 | 2 | 7 | 9 | 77.78% |
| 2006-03-31 | 2 | 6 | 8 | 75.00% |
| 2006-02-28 | 2 | 6 | 8 | 75.00% |
| 2006-01-31 | 2 | 5 | 7 | 71.43% |
| 2005-12-31 | 2 | 5 | 7 | 71.43% |
| 2005-11-30 | 2 | 4 | 6 | 66.67% |
| 2005-10-31 | 3 | 3 | 6 | 50.00% |
| 2005-09-30 | 3 | 4 | 7 | 57.14% |
| 2005-08-31 | 3 | 4 | 7 | 57.14% |
| 2005-07-31 | 3 | 4 | 7 | 57.14% |
| 2005-06-30 | 3 | 5 | 8 | 62.50% |
| 2005-05-31 | 3 | 5 | 8 | 62.50% |
| 2005-04-30 | 3 | 5 | 8 | 62.50% |
| 2005-03-31 | 3 | 5 | 8 | 62.50% |
| 2005-02-28 | 3 | 5 | 8 | 62.50% |
| 2005-01-31 | 3 | 6 | 9 | 66.67% |
| 2004-12-31 | 3 | 6 | 9 | 66.67% |
| 2004-11-30 | 3 | 6 | 9 | 66.67% |
| 2004-10-31 | 3 | 5 | 8 | 62.50% |
| 2004-09-30 | 3 | 5 | 8 | 62.50% |
| 2004-08-31 | 3 | 5 | 8 | 62.50% |
| 2004-07-31 | 2 | 4 | 6 | 66.67% |
| 2004-06-30 | 2 | 4 | 6 | 66.67% |
| 2004-05-31 | 2 | 5 | 7 | 71.43% |
| 2004-04-30 | 2 | 6 | 8 | 75.00% |
| 2004-03-31 | 2 | 5 | 7 | 71.43% |
| 2004-02-29 | 2 | 4 | 6 | 66.67% |
| 2004-01-31 | 2 | 5 | 7 | 71.43% |
| 2003-12-31 | 2 | 5 | 7 | 71.43% |
| 2003-11-30 | 2 | 5 | 7 | 71.43% |
| 2003-10-31 | 2 | 5 | 7 | 71.43% |
| 2003-09-30 | 2 | 5 | 7 | 71.43% |
| 2003-08-31 | 2 | 5 | 7 | 71.43% |
| 2003-07-31 | 2 | 4 | 6 | 66.67% |
| 2003-06-30 | 2 | 2 | 4 | 50.00% |
| 2003-05-31 | 2 | 2 | 4 | 50.00% |
| 2003-04-30 | 2 | 2 | 4 | 50.00% |
| 2003-03-31 | 2 | 2 | 4 | 50.00% |
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