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SMBC Nikko Securities

日興證券(香港)有限公司

SMBC Nikko Securities is the investment banking and securities arm of Sumitomo Mitsui Financial Group (SMFG), one of Japan's largest banking conglomerates, operating in Hong Kong as a full-service broker-dealer. The firm provides equities and fixed income dealing, derivatives, corporate finance advisory, and asset management services, with a strong emphasis on debt capital markets and cross-border M&A transactions involving Japanese and Asian corporates. Its client base spans institutional investors, corporate clients, and financial institutions across the Asia-Pacific region. As a Japanese bulge-bracket affiliate, it plays a key role in channelling Japanese capital into Hong Kong and broader Asian markets.

381
Total licensed
163
Currently active
105
Arrivals tracked
63
Departures tracked

Licensed headcount

Active licence holders · monthly snapshot

Regulated activities

RA1 · Dealing in SecuritiesRA2 · Dealing in FuturesRA4 · Advising on SecuritiesRA5 · Advising on FuturesRA6 · Advising on Corporate FinanceRA9 · Asset Management

Country of origin · active staff

Inferred from name · current members only

🇯🇵Japan
107
🇭🇰Hong Kong
24
🇨🇳China
13
🇬🇧United Kingdom
3
🇰🇷South Korea
2
🇺🇸United States
2
🇩🇿Algeria
1
🌐HR
1
🇮🇹Italy
1
🇵🇰Pakistan
1
🌐RS
1
🇸🇬Singapore
1

People

Active SFC licences
Name CE# Joined
HIRANUMA Shin 平沼槙
DealingAdvisingCorp Finance
BXX5262026-04-29
NAKAGAWA Keisuke 中川圭介
DealingAdvisingCorp Finance
BXX8532026-04-29
FUJITA Kazuya 藤田和哉
DealingAdvisingCorp Finance
BXV9122026-04-09
NOBS Kaji Gerard
DealingAdvisingCorp Finance
BXV9292026-04-08
HATTORI Hironori
DealingFuturesAdvisingAdv.FuturesCorp Finance
ACP6442026-03-19
KATO Mayumi 加藤真由美
DealingFuturesAdvisingAdv.Futures
AFK7072026-03-19
SAMPSON Machiko
DealingFuturesAdvisingAdv.Futures
AJI3802026-03-19
YUE Ho Tung, Tony 余浩東
DealingAdvisingCorp Finance
ALU7442026-03-19
CARLONE Thomas
DealingAdvising
AMJ3372026-03-19
SEGAL James Marc Lee
DealingFuturesAdvisingAdv.Futures
ANM9942026-03-19
KWEK Li Ern Joy 郭麗恩
DealingAdvisingCorp Finance
ANQ6062026-03-19
MURAMATSU Takaaki
Advising
AOQ6052026-03-19
YAMAGUCHI Atsushi
Advising
AOR3402026-03-19
KIKUCHI Satoru
Advising
APR4942026-03-19
KONDO Ken
DealingAdvising
AUY9172026-03-19
SATO Masahiko
Advising
AVM6422026-03-19
HONG Yancheng 洪研程
DealingFuturesAdvisingAdv.Futures
AVS8862026-03-19
LEE Jooho
DealingAdvising
AWH7952026-03-19
HWANG Jennifer Nicole 黃悅真
DealingAdvising
AXG0882026-03-19
ZHAO Geoffrey Li 趙力
DealingAdvisingCorp Finance
AXP1752026-03-19
WONG Adrian Alexander 王一鳴
DealingFutures
AZO7192026-03-19
KATSURA Ryosuke 桂 竜輔
Advising
BAB7132026-03-19
LAM King Sau 林勁秀
DealingAdvisingCorp Finance
BAI8392026-03-19
HOSAKA Yuya 保坂佑哉
DealingAdvisingCorp Finance
BBD3622026-03-19
LEE Sin Ki 李倩琪
DealingAdvisingCorp Finance
BBE9802026-03-19
MORIMOTO Akira
Advising
BBG4252026-03-19
TSUKAMOTO Kenichi
DealingAdvisingCorp Finance
BBR4462026-03-19
HANAYA Takeru 花屋武
Advising
BBS8462026-03-19
HO Hiu Kwan 何曉筠
DealingAdvising
BDC5392026-03-19
LAM Ka Wun, Gary 林家垣
DealingAdvising
BDH2112026-03-19
FUJII Shunsuke 藤井俊介
DealingFuturesAdvisingAdv.Futures
BDM8512026-03-19
HUANG Chung-yu
DealingAdvising
BDN2662026-03-19
TAZAWA Junichi
Advising
BEL2372026-03-19
MINAGAWA Ryozo
Advising
BFA6652026-03-19
HE Haotian 何昊天
DealingAdvisingCorp Finance
BFN6732026-03-19
CHRISTIE Neill Alexander
DealingAdvising
BFN8572026-03-19
SHIMAMOTO Arisa
DealingFuturesAdvisingAdv.Futures
BGM5602026-03-19
CHAN Ching Han 陳靜嫻
DealingAdvising
BGU4112026-03-19
HAMADA Joyce Michiko 浜田美智子
DealingAdvising
BHP5402026-03-19
MIYAMOTO Go
Advising
BIN8502026-03-19
ARAKI Yushi 荒木裕史
DealingFuturesAdvisingAdv.Futures
BJT5272026-03-19
PENAVIC Stjepan Drzislav
DealingAdvising
BNG8902026-03-19
LAI Chi Ian 黎芷昕
DealingAdvisingCorp Finance
BNO1572026-03-19
MAO Yiyi 毛禕禕
DealingAdvisingCorp Finance
BNY1552026-03-19
SAKURAI Aya
Advising
BNY3952026-03-19
KARANOVIC Vladimir
DealingFuturesAdvisingAdv.Futures
BOB3722026-03-19
HUANG Xinzhe 黃昕哲
DealingAdvisingCorp Finance
BOP1112026-03-19
KOBAYASHI Kaya 周宛嬋
DealingAdvising
BOZ2412026-03-19
WATANABE Hiroharu 渡邊 洋治
Advising
BPK3852026-03-19
ZHOU Hanyi 周涵逸
DealingAdvising
BQE9622026-03-19

Top competitors by talent overlap

Score combines talent flow volume, regulatory activity overlap (Jaccard), and business similarity (embeddings). Higher = more competitive overlap.