NOMURA SECURITIES (HONG KONG) LIMITED
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 |
|---|---|---|---|---|
| 2024-05-20 | 0 | 0 | 0 | 0.00% |
| 2024-04-30 | 0 | 0 | 0 | 0.00% |
| 2024-03-31 | 0 | 0 | 0 | 0.00% |
| 2024-02-29 | 0 | 0 | 0 | 0.00% |
| 2024-01-31 | 0 | 0 | 0 | 0.00% |
| 2023-12-31 | 0 | 0 | 0 | 0.00% |
| 2023-11-30 | 0 | 0 | 0 | 0.00% |
| 2023-10-31 | 0 | 0 | 0 | 0.00% |
| 2023-09-30 | 0 | 0 | 0 | 0.00% |
| 2023-08-31 | 0 | 0 | 0 | 0.00% |
| 2023-07-31 | 0 | 0 | 0 | 0.00% |
| 2023-06-30 | 0 | 0 | 0 | 0.00% |
| 2023-05-31 | 0 | 0 | 0 | 0.00% |
| 2023-04-30 | 0 | 0 | 0 | 0.00% |
| 2023-03-31 | 0 | 0 | 0 | 0.00% |
| 2023-02-28 | 0 | 0 | 0 | 0.00% |
| 2023-01-31 | 0 | 0 | 0 | 0.00% |
| 2022-12-31 | 0 | 0 | 0 | 0.00% |
| 2022-11-30 | 0 | 0 | 0 | 0.00% |
| 2022-10-31 | 0 | 0 | 0 | 0.00% |
| 2022-09-30 | 0 | 0 | 0 | 0.00% |
| 2022-08-31 | 0 | 0 | 0 | 0.00% |
| 2022-07-31 | 0 | 0 | 0 | 0.00% |
| 2022-06-30 | 0 | 0 | 0 | 0.00% |
| 2022-05-31 | 0 | 0 | 0 | 0.00% |
| 2022-04-30 | 0 | 0 | 0 | 0.00% |
| 2022-03-31 | 0 | 0 | 0 | 0.00% |
| 2022-02-28 | 0 | 0 | 0 | 0.00% |
| 2022-01-31 | 0 | 0 | 0 | 0.00% |
| 2021-12-31 | 0 | 0 | 0 | 0.00% |
| 2021-11-30 | 0 | 0 | 0 | 0.00% |
| 2021-10-31 | 0 | 0 | 0 | 0.00% |
| 2021-09-30 | 0 | 0 | 0 | 0.00% |
| 2021-08-31 | 0 | 0 | 0 | 0.00% |
| 2021-07-31 | 0 | 0 | 0 | 0.00% |
| 2021-06-30 | 0 | 0 | 0 | 0.00% |
| 2021-05-31 | 0 | 0 | 0 | 0.00% |
| 2021-04-30 | 0 | 0 | 0 | 0.00% |
| 2021-03-31 | 0 | 0 | 0 | 0.00% |
| 2021-02-28 | 0 | 0 | 0 | 0.00% |
| 2021-01-31 | 0 | 0 | 0 | 0.00% |
| 2020-12-31 | 0 | 0 | 0 | 0.00% |
| 2020-11-30 | 0 | 0 | 0 | 0.00% |
| 2020-10-31 | 0 | 0 | 0 | 0.00% |
| 2020-09-30 | 0 | 0 | 0 | 0.00% |
| 2020-08-31 | 0 | 0 | 0 | 0.00% |
| 2020-07-31 | 0 | 0 | 0 | 0.00% |
| 2020-06-30 | 0 | 0 | 0 | 0.00% |
| 2020-05-31 | 0 | 0 | 0 | 0.00% |
| 2020-04-30 | 0 | 0 | 0 | 0.00% |
| 2020-03-31 | 0 | 0 | 0 | 0.00% |
| 2020-02-29 | 0 | 0 | 0 | 0.00% |
| 2020-01-31 | 0 | 0 | 0 | 0.00% |
| 2019-12-31 | 0 | 0 | 0 | 0.00% |
| 2019-11-30 | 0 | 0 | 0 | 0.00% |
| 2019-10-31 | 0 | 0 | 0 | 0.00% |
| 2019-09-30 | 0 | 0 | 0 | 0.00% |
| 2019-08-31 | 0 | 0 | 0 | 0.00% |
| 2019-07-31 | 0 | 0 | 0 | 0.00% |
| 2019-06-30 | 0 | 0 | 0 | 0.00% |
| 2019-05-31 | 0 | 0 | 0 | 0.00% |
| 2019-04-30 | 0 | 0 | 0 | 0.00% |
| 2019-03-31 | 0 | 0 | 0 | 0.00% |
| 2019-02-28 | 0 | 0 | 0 | 0.00% |
| 2019-01-31 | 0 | 0 | 0 | 0.00% |
| 2018-12-31 | 0 | 0 | 0 | 0.00% |
| 2018-11-30 | 0 | 0 | 0 | 0.00% |
| 2018-10-31 | 0 | 0 | 0 | 0.00% |
| 2018-09-30 | 0 | 0 | 0 | 0.00% |
| 2018-08-31 | 0 | 0 | 0 | 0.00% |
| 2018-07-31 | 0 | 0 | 0 | 0.00% |
| 2018-06-30 | 0 | 0 | 0 | 0.00% |
| 2018-05-31 | 0 | 0 | 0 | 0.00% |
| 2018-04-30 | 0 | 0 | 0 | 0.00% |
| 2018-03-31 | 0 | 0 | 0 | 0.00% |
| 2018-02-28 | 0 | 0 | 0 | 0.00% |
| 2018-01-31 | 0 | 0 | 0 | 0.00% |
| 2017-12-31 | 0 | 0 | 0 | 0.00% |
| 2017-11-30 | 0 | 0 | 0 | 0.00% |
| 2017-10-31 | 0 | 0 | 0 | 0.00% |
| 2017-09-30 | 0 | 0 | 0 | 0.00% |
| 2017-08-31 | 0 | 0 | 0 | 0.00% |
| 2017-07-31 | 0 | 0 | 0 | 0.00% |
| 2017-06-30 | 0 | 0 | 0 | 0.00% |
| 2017-05-31 | 0 | 0 | 0 | 0.00% |
| 2017-04-30 | 0 | 0 | 0 | 0.00% |
| 2017-03-31 | 0 | 0 | 0 | 0.00% |
| 2017-02-28 | 0 | 0 | 0 | 0.00% |
| 2017-01-31 | 0 | 0 | 0 | 0.00% |
| 2016-12-31 | 0 | 0 | 0 | 0.00% |
| 2016-11-30 | 0 | 0 | 0 | 0.00% |
| 2016-10-31 | 0 | 0 | 0 | 0.00% |
| 2016-09-30 | 0 | 0 | 0 | 0.00% |
| 2016-08-31 | 0 | 0 | 0 | 0.00% |
| 2016-07-31 | 0 | 0 | 0 | 0.00% |
| 2016-06-30 | 0 | 0 | 0 | 0.00% |
| 2016-05-31 | 0 | 0 | 0 | 0.00% |
| 2016-04-30 | 0 | 0 | 0 | 0.00% |
| 2016-03-31 | 0 | 0 | 0 | 0.00% |
| 2016-02-29 | 0 | 0 | 0 | 0.00% |
| 2016-01-31 | 0 | 0 | 0 | 0.00% |
| 2015-12-31 | 0 | 0 | 0 | 0.00% |
| 2015-11-30 | 0 | 0 | 0 | 0.00% |
| 2015-10-31 | 0 | 0 | 0 | 0.00% |
| 2015-09-30 | 0 | 0 | 0 | 0.00% |
| 2015-08-31 | 0 | 0 | 0 | 0.00% |
| 2015-07-31 | 0 | 0 | 0 | 0.00% |
| 2015-06-30 | 0 | 0 | 0 | 0.00% |
| 2015-05-31 | 0 | 0 | 0 | 0.00% |
| 2015-04-30 | 0 | 0 | 0 | 0.00% |
| 2015-03-31 | 0 | 0 | 0 | 0.00% |
| 2015-02-28 | 0 | 0 | 0 | 0.00% |
| 2015-01-31 | 0 | 0 | 0 | 0.00% |
| 2014-12-31 | 0 | 0 | 0 | 0.00% |
| 2014-11-30 | 0 | 0 | 0 | 0.00% |
| 2014-10-31 | 0 | 0 | 0 | 0.00% |
| 2014-09-30 | 0 | 0 | 0 | 0.00% |
| 2014-08-31 | 0 | 0 | 0 | 0.00% |
| 2014-07-31 | 0 | 0 | 0 | 0.00% |
| 2014-06-30 | 0 | 0 | 0 | 0.00% |
| 2014-05-31 | 0 | 0 | 0 | 0.00% |
| 2014-04-30 | 0 | 0 | 0 | 0.00% |
| 2014-03-31 | 0 | 0 | 0 | 0.00% |
| 2014-02-28 | 0 | 0 | 0 | 0.00% |
| 2014-01-31 | 0 | 0 | 0 | 0.00% |
| 2013-12-31 | 0 | 0 | 0 | 0.00% |
| 2013-11-30 | 0 | 0 | 0 | 0.00% |
| 2013-10-31 | 0 | 0 | 0 | 0.00% |
| 2013-09-30 | 0 | 0 | 0 | 0.00% |
| 2013-08-31 | 0 | 0 | 0 | 0.00% |
| 2013-07-31 | 0 | 0 | 0 | 0.00% |
| 2013-06-30 | 0 | 0 | 0 | 0.00% |
| 2013-05-31 | 0 | 0 | 0 | 0.00% |
| 2013-04-30 | 3 | 2 | 5 | 40.00% |
| 2013-03-31 | 3 | 61 | 64 | 95.31% |
| 2013-02-28 | 4 | 64 | 68 | 94.12% |
| 2013-01-31 | 3 | 66 | 69 | 95.65% |
| 2012-12-31 | 3 | 68 | 71 | 95.77% |
| 2012-11-30 | 4 | 72 | 76 | 94.74% |
| 2012-10-31 | 5 | 72 | 77 | 93.51% |
| 2012-09-30 | 5 | 74 | 79 | 93.67% |
| 2012-08-31 | 5 | 68 | 73 | 93.15% |
| 2012-07-31 | 5 | 72 | 77 | 93.51% |
| 2012-06-30 | 6 | 73 | 79 | 92.41% |
| 2012-05-31 | 6 | 79 | 85 | 92.94% |
| 2012-04-30 | 6 | 81 | 87 | 93.10% |
| 2012-03-31 | 6 | 83 | 89 | 93.26% |
| 2012-02-29 | 4 | 82 | 86 | 95.35% |
| 2012-01-31 | 4 | 83 | 87 | 95.40% |
| 2011-12-31 | 5 | 83 | 88 | 94.32% |
| 2011-11-30 | 5 | 84 | 89 | 94.38% |
| 2011-10-31 | 6 | 90 | 96 | 93.75% |
| 2011-09-30 | 6 | 89 | 95 | 93.68% |
| 2011-08-31 | 5 | 86 | 91 | 94.51% |
| 2011-07-31 | 4 | 84 | 88 | 95.45% |
| 2011-06-30 | 4 | 87 | 91 | 95.60% |
| 2011-05-31 | 4 | 87 | 91 | 95.60% |
| 2011-04-30 | 4 | 88 | 92 | 95.65% |
| 2011-03-31 | 4 | 89 | 93 | 95.70% |
| 2011-02-28 | 4 | 90 | 94 | 95.74% |
| 2011-01-31 | 3 | 91 | 94 | 96.81% |
| 2010-12-31 | 3 | 89 | 92 | 96.74% |
| 2010-11-30 | 3 | 91 | 94 | 96.81% |
| 2010-10-31 | 3 | 92 | 95 | 96.84% |
| 2010-09-30 | 3 | 90 | 93 | 96.77% |
| 2010-08-31 | 3 | 90 | 93 | 96.77% |
| 2010-07-31 | 3 | 90 | 93 | 96.77% |
| 2010-06-30 | 4 | 88 | 92 | 95.65% |
| 2010-05-31 | 3 | 86 | 89 | 96.63% |
| 2010-04-30 | 4 | 92 | 96 | 95.83% |
| 2010-03-31 | 3 | 93 | 96 | 96.88% |
| 2010-02-28 | 3 | 95 | 98 | 96.94% |
| 2010-01-31 | 3 | 33 | 36 | 91.67% |
| 2009-12-31 | 3 | 32 | 35 | 91.43% |
| 2009-11-30 | 3 | 30 | 33 | 90.91% |
| 2009-10-31 | 2 | 29 | 31 | 93.55% |
| 2009-09-30 | 2 | 29 | 31 | 93.55% |
| 2009-08-31 | 2 | 31 | 33 | 93.94% |
| 2009-07-31 | 2 | 32 | 34 | 94.12% |
| 2009-06-30 | 2 | 31 | 33 | 93.94% |
| 2009-05-31 | 2 | 31 | 33 | 93.94% |
| 2009-04-30 | 2 | 33 | 35 | 94.29% |
| 2009-03-31 | 3 | 41 | 44 | 93.18% |
| 2009-02-28 | 3 | 41 | 44 | 93.18% |
| 2009-01-31 | 3 | 41 | 44 | 93.18% |
| 2008-12-31 | 3 | 36 | 39 | 92.31% |
| 2008-11-30 | 3 | 15 | 18 | 83.33% |
| 2008-10-31 | 3 | 13 | 16 | 81.25% |
| 2008-09-30 | 3 | 13 | 16 | 81.25% |
| 2008-08-31 | 3 | 13 | 16 | 81.25% |
| 2008-07-31 | 2 | 15 | 17 | 88.24% |
| 2008-06-30 | 2 | 16 | 18 | 88.89% |
| 2008-05-31 | 2 | 16 | 18 | 88.89% |
| 2008-04-30 | 2 | 16 | 18 | 88.89% |
| 2008-03-31 | 4 | 11 | 15 | 73.33% |
| 2008-02-29 | 4 | 11 | 15 | 73.33% |
| 2008-01-31 | 4 | 11 | 15 | 73.33% |
| 2007-12-31 | 4 | 11 | 15 | 73.33% |
| 2007-11-30 | 4 | 11 | 15 | 73.33% |
| 2007-10-31 | 4 | 11 | 15 | 73.33% |
| 2007-09-30 | 3 | 12 | 15 | 80.00% |
| 2007-08-31 | 3 | 12 | 15 | 80.00% |
| 2007-07-31 | 3 | 12 | 15 | 80.00% |
| 2007-06-30 | 3 | 13 | 16 | 81.25% |
| 2007-05-31 | 3 | 13 | 16 | 81.25% |
| 2007-04-30 | 3 | 12 | 15 | 80.00% |
| 2007-03-31 | 3 | 12 | 15 | 80.00% |
| 2007-02-28 | 3 | 11 | 14 | 78.57% |
| 2007-01-31 | 3 | 11 | 14 | 78.57% |
| 2006-12-31 | 3 | 11 | 14 | 78.57% |
| 2006-11-30 | 3 | 11 | 14 | 78.57% |
| 2006-10-31 | 3 | 11 | 14 | 78.57% |
| 2006-09-30 | 3 | 11 | 14 | 78.57% |
| 2006-08-31 | 3 | 11 | 14 | 78.57% |
| 2006-07-31 | 3 | 11 | 14 | 78.57% |
| 2006-06-30 | 4 | 10 | 14 | 71.43% |
| 2006-05-31 | 3 | 10 | 13 | 76.92% |
| 2006-04-30 | 3 | 10 | 13 | 76.92% |
| 2006-03-31 | 3 | 10 | 13 | 76.92% |
| 2006-02-28 | 3 | 10 | 13 | 76.92% |
| 2006-01-31 | 3 | 10 | 13 | 76.92% |
| 2005-12-31 | 3 | 10 | 13 | 76.92% |
| 2005-11-30 | 3 | 10 | 13 | 76.92% |
| 2005-10-31 | 3 | 10 | 13 | 76.92% |
| 2005-09-30 | 3 | 10 | 13 | 76.92% |
| 2005-08-31 | 3 | 10 | 13 | 76.92% |
| 2005-07-31 | 3 | 10 | 13 | 76.92% |
| 2005-06-30 | 3 | 10 | 13 | 76.92% |
| 2005-05-31 | 3 | 10 | 13 | 76.92% |
| 2005-04-30 | 4 | 10 | 14 | 71.43% |
| 2005-03-31 | 4 | 10 | 14 | 71.43% |
| 2005-02-28 | 4 | 10 | 14 | 71.43% |
| 2005-01-31 | 3 | 11 | 14 | 78.57% |
| 2004-12-31 | 2 | 12 | 14 | 85.71% |
| 2004-11-30 | 2 | 10 | 12 | 83.33% |
| 2004-10-31 | 2 | 8 | 10 | 80.00% |
| 2004-09-30 | 2 | 7 | 9 | 77.78% |
| 2004-08-31 | 1 | 8 | 9 | 88.89% |
| 2004-07-31 | 1 | 7 | 8 | 87.50% |
| 2004-06-30 | 1 | 6 | 7 | 85.71% |
| 2004-05-31 | 1 | 6 | 7 | 85.71% |
| 2004-04-30 | 1 | 6 | 7 | 85.71% |
| 2004-03-31 | 1 | 6 | 7 | 85.71% |
| 2004-02-29 | 1 | 6 | 7 | 85.71% |
| 2004-01-31 | 1 | 6 | 7 | 85.71% |
| 2003-12-31 | 1 | 6 | 7 | 85.71% |
| 2003-11-30 | 1 | 6 | 7 | 85.71% |
| 2003-10-31 | 1 | 6 | 7 | 85.71% |
| 2003-09-30 | 1 | 6 | 7 | 85.71% |
| 2003-08-31 | 1 | 6 | 7 | 85.71% |
| 2003-07-31 | 1 | 6 | 7 | 85.71% |
| 2003-06-30 | 1 | 6 | 7 | 85.71% |
| 2003-05-31 | 1 | 6 | 7 | 85.71% |
| 2003-04-30 | 1 | 6 | 7 | 85.71% |
| 2003-03-31 | 1 | 6 | 7 | 85.71% |
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