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LEHMAN BROTHERS SECURITIES ASIA LIMITED
美國雷曼兄弟證券亞洲有限公司




SFC licensees

Name Age in
2013
Position From Until
1 Adair, John Joseph    RepRepresentative  30-May-2007  29-Sep-2008
2 Arnaudy, Anthony John    RepRepresentative  1-Aug-2005  29-Sep-2008
3 Bertsch, Martin    RepRepresentative  22-Jun-2007  29-Sep-2008
4 Bolon, Jonathan Quinn    RepRepresentative  14-Jul-2008  29-Sep-2008
5 Bowmer Iii, William Sterett    RepRepresentative    23-Jul-2004
6 Camguilhem, Thibaut Jean-Manuel    RepRepresentative  8-Aug-2008  29-Sep-2008
7 Chan, Shirley Mei Fung    RepRepresentative    29-Sep-2008
8 Chang, Lu Lu    RepRepresentative  7-Aug-2006  29-Sep-2008
9 Chang, Randy Chung-Hsia    RepRepresentative  30-Aug-2007  29-Sep-2008
10 Chang, Wei-Chun    RepRepresentative  14-Feb-2008  29-Sep-2008
11 Chau, Kenneth Yiu Man    RepRepresentative  21-May-2008  29-Sep-2008
12 Cheung, Andy Hoi Tai    RepRepresentative  29-Aug-2008  29-Sep-2008
13 Cheung, Edward Tze Loong    RepRepresentative  6-Aug-2004  21-May-2008
14 Choi, Hye Jin    RepRepresentative  18-Jul-2007  29-Sep-2008
15 Choi, Jae Joon    RepRepresentative  21-Aug-2007  29-Sep-2008
16 Chong, Kenny    RepRepresentative  20-Apr-2007  29-Sep-2008
17 Chong, Marco Chun Wah    RepRepresentative  7-Apr-2006  29-Sep-2008
18 Choon, Yew Khee    RepRepresentative  25-Jul-2006  5-Mar-2008
19 Chung, Kah Yi    RepRepresentative  22-May-2007  17-Apr-2008
20 Cipresso, Michael Armond    RepRepresentative  12-Nov-2007  22-Dec-2007
21 Co, Liza Yap    RepRepresentative  12-Oct-2004  20-Apr-2005
22 Cultura, Crisostomo Medardo Felicisimo    RepRepresentative    29-Sep-2008
23 Dasgupta, Anindya    RepRepresentative  20-May-2008  29-Sep-2008
24 Di Iorio, Michael Anthony    RepRepresentative  22-Nov-2007  29-Sep-2008
25 Ding, Yong    RepRepresentative  13-Sep-2007  29-Sep-2008
26 Doe, Jocelyn Jee Eun    RepRepresentative  1-Nov-2006  29-Sep-2008
27 Douglas, David Archibald    RepRepresentative  6-Jul-2005  9-Jan-2006
Resp OffResponsible Officer  9-Jan-2006  6-Aug-2008
28 Feldkamp, Geoffrey Frederick    RepRepresentative  30-Jan-2008  29-Sep-2008
29 Feng, Shuang    RepRepresentative  4-Jan-2008  29-Sep-2008
30 Filotti, Marie Despina Elisabeth    RepRepresentative  22-Feb-2007  29-Sep-2008
31 Fletcher, Luke    RepRepresentative  25-May-2007  29-Sep-2008
32 Fok, Chung Yin    RepRepresentative  27-Jul-2007  29-Sep-2008
33 Fok, Kee Hung    RepRepresentative    29-Aug-2007
34 Fung, Selina Suk Han    RepRepresentative  4-Apr-2006  29-Sep-2008
35 Fung, William Ching Ho    RepRepresentative  1-Feb-2005  29-Sep-2008
36 Gerhart, David Charles    RepRepresentative  20-Jul-2007  20-Nov-2007
37 Goff, John Swafford    RepRepresentative  6-Jun-2008  29-Sep-2008
38 Halliwell, Thomas Alan    RepRepresentative  14-May-2007  29-Sep-2008
39 Haskamp, Michael Oliver    RepRepresentative  22-Feb-2008  29-Sep-2008
40 Hemmings, Lee Kerry    RepRepresentative  3-Jul-2007  3-Mar-2008
Resp OffResponsible Officer  3-Mar-2008  29-Sep-2008
41 Highfield, Tucker Montana    RepRepresentative  16-Apr-2003  25-May-2004
42 Ho, Alexander Da Yung    RepRepresentative  27-Aug-2008  29-Sep-2008
43 Ho, Catherine Kai-Yung    RepRepresentative  14-Aug-2007  29-Sep-2008
44 Holt, Sue Lin    RepRepresentative  18-Feb-2004  29-Sep-2008
45 Hong, Joonkee    RepRepresentative  15-Apr-2005  29-Sep-2008
46 Jain, Varnit    RepRepresentative  10-Jan-2008  29-Sep-2008
47 Karoonyavanich, Anuruk    RepRepresentative  12-Apr-2007  29-Sep-2008
48 Kee, Tang Seng    RepRepresentative  20-Aug-2003  10-Apr-2006
Resp OffResponsible Officer  10-Apr-2006  29-Sep-2008
49 Khachatryan, Astghik    RepRepresentative  27-Aug-2007  29-Sep-2008
50 Kim, Hong Il    RepRepresentative  3-Apr-2008  29-Sep-2008
51 Kim, Susan Eun    RepRepresentative  14-Aug-2008  29-Sep-2008
52 Kinnear-Nock, Scott William    RepRepresentative  16-May-2008  29-Sep-2008
53 Koenen Jr, Austin Voorhees    RepRepresentative  27-Nov-2007  29-Sep-2008
54 Koh, Poh Soon (SFC:ACJ606)    RepRepresentative    22-Apr-2003
55 Koo, Ginam    RepRepresentative  26-May-2008  29-Sep-2008
56 Lachs, Jessica Lee    RepRepresentative  6-Feb-2008  6-Jul-2008
57 Lai, Wai Tsz    RepRepresentative  13-Oct-2003  14-May-2007
58 Lalgudi Gurumurthy, Madhu Subramanian    RepRepresentative  16-Aug-2007  29-Sep-2008
59 Lam, David Tai Yuen    RepRepresentative    28-Mar-2006
Resp OffResponsible Officer  28-Mar-2006  29-Sep-2008
60 Lam, Lana Chuk Nga    RepRepresentative  10-Aug-2007  21-May-2008
61 Lance, Robert Waldo    RepRepresentative  23-Apr-2003  12-Dec-2003
Resp OffResponsible Officer  12-Dec-2003  11-Jul-2004
RepRepresentative  20-Jul-2004  24-Jun-2005
Resp OffResponsible Officer  24-Jun-2005  24-Feb-2006
62 Lau, Joseph Han Wai    RepRepresentative  4-Jul-2007  29-Sep-2008
63 Law, Karen Yik Ki    RepRepresentative  23-Oct-2006  29-Sep-2008
64 Lee, Calvin Chi Toa    RepRepresentative  1-Aug-2007  29-Sep-2008
65 Lee, Chin Keng    RepRepresentative  23-Jul-2007  10-Sep-2008
66 Lee, Dennis Pui Yan    RepRepresentative  14-Mar-2007  29-Sep-2008
67 Lee, Edward Yuan Tse    RepRepresentative    29-Jun-2005
68 Lee, Joseph Won    RepRepresentative  2-Oct-2007  29-Sep-2008
69 Lee, Karen Kar Woon    RepRepresentative  16-Jan-2008  29-Sep-2008
70 Lee, Suh Yung    RepRepresentative  29-Nov-2006  16-Apr-2008
71 Leung, Helen (SFC:AOP097)    RepRepresentative  22-Feb-2007  20-Mar-2008
72 Leung, Jackson Cheuk Shun    RepRepresentative  11-Jul-2006  29-Sep-2008
73 Leung, Jenkin Ching Kei    Resp OffResponsible Officer  13-Oct-2004  28-Jul-2005
74 Leung, Sandy Wai Sum    RepRepresentative  1-Sep-2008  29-Sep-2008
75 Leung, Wai Kei (SFC:AKR467)    RepRepresentative  30-May-2008  29-Sep-2008
76 Li, Cherry Sin King    RepRepresentative  23-Oct-2006  20-Mar-2008
77 Lim, James Teik Beng    RepRepresentative  16-Mar-2007  29-Sep-2008
78 Lim, Terence Seng Chong    RepRepresentative  17-May-2006  29-Sep-2008
79 Lin, Xin    RepRepresentative  15-Aug-2005  29-Sep-2008
80 Lo, Yue Hin    RepRepresentative  8-Aug-2008  29-Sep-2008
81 Loh, Adrian Jenn Yeh    RepRepresentative  26-May-2006  19-Mar-2007
82 Luk, Sylvia Ching Yan    RepRepresentative  14-Jan-2005  14-Oct-2005
RepRepresentative  25-Nov-2005  29-Sep-2008
83 Mak, Hin Chun    RepRepresentative  22-Aug-2007  29-Sep-2008
84 Mak, Marian Yuen Man    RepRepresentative  10-Mar-2005  10-Apr-2007
85 Mar, Johnson    Resp OffResponsible Officer    29-Sep-2008
86 Murray, Hugh Mcpherson Lathrop    RepRepresentative  12-Oct-2007  29-Sep-2008
87 Ng, Bosco Yan Lam    RepRepresentative  1-Aug-2008  29-Sep-2008
88 Nichols, David    Resp OffResponsible Officer  23-Oct-2007  29-Sep-2008
89 Nicot, Cynthia    RepRepresentative  3-Aug-2007  29-Sep-2008
90 Nirmalananda, Logan Siva    RepRepresentative  19-Mar-2004  14-May-2007
91 Noble, Scott Clifford    RepRepresentative  20-Sep-2007  29-Sep-2008
92 O'Meara, Christopher James Sidney    RepRepresentative  24-Apr-2003  28-Apr-2006
Resp OffResponsible Officer  28-Apr-2006  27-Nov-2006
RepRepresentative  27-Nov-2006  29-Sep-2008
93 Oh, Seung Joo    RepRepresentative  1-Nov-2004  17-Jun-2005
94 Ong, Simon Wui Shiang    RepRepresentative  25-Apr-2007  29-Sep-2008
95 Pai, Arun Madhavaraya    RepRepresentative  16-Aug-2007  24-Sep-2007
96 Paine, David L    RepRepresentative    29-Sep-2008
97 Pang, Yan    RepRepresentative  13-Jul-2007  29-Sep-2008
98 Penton, Dominic Jon    Resp OffResponsible Officer    4-Sep-2003
RepRepresentative  10-Sep-2003  15-Mar-2004
Resp OffResponsible Officer  15-Mar-2004  5-May-2005
99 Perrett, Adam Nicholas    RepRepresentative  14-May-2004  11-Apr-2006
100 Poon, Kenneth Sin Ming    RepRepresentative    9-Oct-2003
101 Qiu, Lin (SFC:AOQ538)    RepRepresentative  2-Mar-2007  29-Sep-2008
102 Ramsey, Michael Ryan    RepRepresentative  1-Jun-2007  29-Sep-2008
103 Robinson, Paul Allan    RepRepresentative  27-May-2008  27-Aug-2008
104 Sam, Eric Yu Lik    RepRepresentative  9-Mar-2007  29-Sep-2008
105 Santilli, Filippo    RepRepresentative  20-Dec-2006  20-Mar-2008
106 Sarkar, Kevin Deven    RepRepresentative  16-Aug-2007  27-May-2008
107 Sekharan, Tina    RepRepresentative  16-Aug-2007  19-Jun-2008
108 Seshan, Nikhil Harish    RepRepresentative  16-Aug-2007  29-Sep-2008
109 Shek, Leo Ho Yin    RepRepresentative  4-May-2007  13-Mar-2008
110 Shin, Stephen Hyunsang    RepRepresentative  11-Jul-2005  14-Nov-2005
111 Shiu, Flora Ka Yan    RepRepresentative  12-Jul-2007  29-Sep-2008
112 Sia, Siew Leng    RepRepresentative  25-Sep-2006  26-Aug-2007
113 Song, Di    RepRepresentative  30-Apr-2008  29-Sep-2008
114 Sowinski, John Anthony    RepRepresentative  15-Feb-2008  29-Sep-2008
115 Subramanian, Viswanathan R    RepRepresentative  16-Aug-2007  29-Sep-2008
116 Sweeney, Kirk Chester    Resp OffResponsible Officer    29-Sep-2008
117 Tai, Waini Karen    RepRepresentative  20-Jun-2007  22-May-2008
118 Tan, Yun Yang    RepRepresentative  26-Jan-2005  29-Jul-2006
119 Thorkelsson, Sigurbjorn    RepRepresentative  11-Dec-2007  29-Sep-2008
120 Tong, Derek Wai Hon    RepRepresentative  23-Aug-2007  29-Sep-2008
121 Tong, Tung Kiu    RepRepresentative  23-Jan-2008  10-Sep-2008
122 Ventouras, Alexis   46 RepRepresentative    6-Aug-2003
123 Wai, Derek Ho Kuen    RepRepresentative  9-Aug-2006  3-Sep-2007
124 Waldron, Joseph Francis    RepRepresentative  10-Aug-2006  27-Feb-2008
125 Wang, Jing (SFC:APB403)    RepRepresentative  17-Jul-2007  10-Sep-2008
126 Wang, Yan (SFC:APX217)    RepRepresentative  30-Oct-2007  29-Sep-2008
127 Warhurst, Paul Simon    RepRepresentative  4-Sep-2007  29-Sep-2008
128 Watson, Alan James David    RepRepresentative    9-Aug-2003
129 Webb, Jordan Wallace    RepRepresentative  31-Aug-2007  29-Sep-2008
130 Wong, Eric Kai Lap    RepRepresentative  1-Nov-2006  29-Mar-2007
Resp OffResponsible Officer  29-Mar-2007  21-May-2007
131 Wong, Ming Shing    RepRepresentative  12-Nov-2007  29-Sep-2008
132 Wu, Bun Lerd Bernard    RepRepresentative  22-Aug-2007  22-May-2008
133 Xie, Jinhui    RepRepresentative  2-Apr-2008  29-Sep-2008
134 Xie, Peng    RepRepresentative  28-Aug-2008  29-Sep-2008
135 Yao, Jack Hsin-Chou    RepRepresentative  14-Sep-2007  29-Sep-2008
136 Yee, Jack Sam    RepRepresentative  21-Dec-2006  29-Sep-2008
137 Yeung, Kei Yuen    RepRepresentative  18-Apr-2008  29-Sep-2008
138 Yuan, Joyce Dian    RepRepresentative  2-Apr-2007  29-Sep-2008
139 Yuen, Hoi See    RepRepresentative    21-Jul-2004
140 Yun, Cheuk Ting Sara    RepRepresentative  17-Aug-2006  29-Sep-2008
141 Zhou, Xu Xiang    RepRepresentative  30-Aug-2007  29-Sep-2008

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