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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.

414
Total licensed
196
Currently active
107
Arrivals tracked
64
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
137
🇭🇰Hong Kong
21
🇨🇳China
17
🌐Unknown
6
🇬🇧United Kingdom
5
🇰🇷South Korea
2
🇺🇸United States
2
🇦🇷Argentina
1
🇩🇿Algeria
1
🌐HR
1
🇮🇹Italy
1
🇵🇰Pakistan
1

People

Active SFC licences
Name ↕CE# ↕Joined ↓
HAMANO Ryo 濵野亮
DealingAdvisingCorp Finance
BYR1472026-10-07
LEE An Peng 李安鵬
DealingAdvising
AXE8742026-10-05
KAWAKATSU Masanori 川勝正紀
DealingAdvisingCorp Finance
BYQ8222026-09-30
YOSHIDA Tomonori 吉田伴憲
DealingAdvisingCorp Finance
BWN5482026-09-09
NAKA Kazuhito 那珂和人
DealingAdvising
BDC1232026-09-08
MAKI Kazunori 牧 一統
DealingAdvisingCorp Finance
BYO6022026-09-07
TODA Tatsuya 戸田達也
DealingAdvisingCorp Finance
BYO5762026-09-01
XU Zeheng 許澤珩
DealingAdvisingCorp Finance
BRH9892026-08-31
TOMITA Ryo
DealingAdvisingCorp Finance
BYN5572026-08-27
WADA Takuya 和田拓也
DealingAdvisingCorp Finance
BWN0502026-08-26
NAKAMURA Ken 中村健
DealingFuturesAdvisingAdv.FuturesCorp Finance
BWG9302026-08-21
GO Shogo 呉昌豪
DealingFuturesAdvisingAdv.Futures
BXY0692026-08-20
NAKAYAMA Daichi 中山大知
DealingAdvisingCorp Finance
BYN0982026-08-19
UENO Kota
DealingAdvisingCorp Finance
BYM9262026-08-19
MURATA Takuya
DealingAdvising
BJC7032026-08-18
SATO Shinya 佐藤心也
DealingAdvisingCorp Finance
BWE6852026-08-18
FURUTA Tsukasa 古田典
DealingAdvisingCorp Finance
BYM8952026-08-18
SORIMACHI Shunsuke 反町駿介
DealingAdvisingCorp Finance
BYM6392026-08-13
TANIGUCHI Koji 谷口弘慈
DealingAdvisingCorp Finance
BYM5682026-08-12
YAMAKAWA Risa
DealingAdvisingCorp Finance
BYL0752026-08-07
KAGIYAMA Takahiro 鍵山学宏
DealingAdvisingCorp Finance
BYL9612026-08-07
DELMAR Marcelo Hector
DealingAdvisingCorp Finance
BVO6122026-08-06
AKIYAMA Nao 秋山尚
DealingAdvisingCorp Finance
BYG6132026-07-10
RAFTERY Matthew David
DealingFuturesAdvisingAdv.Futures
BYB0762026-07-07
OHASHI Yoichi
DealingAdvising
BTW7882026-06-26
TAKAYAMA Shima 髙山志真
Advising
BYE0842026-06-23
SOGABE Toshiki 曽我辺俊求
DealingAdvisingCorp Finance
BYD8152026-06-18
CHEN Penghao 陈鹏昊
DealingFutures
BYD9722026-06-12
SHEN Xinyao 沈新尧
DealingFutures
BYC8142026-06-09
KUYA Kenji
DealingAdvisingCorp Finance
BYC3952026-06-04
MAEHARA Yasuhiro 前原康寛
DealingAdvisingCorp Finance
BYC1352026-06-04
HE Yulin 何羽琳
DealingAdvisingCorp Finance
ARG5172026-06-03
NODA Daiju 野田大樹
DealingAdvisingCorp Finance
BYB5932026-06-03
KOGA Yoshitake 古閑善丈
DealingAdvisingCorp Finance
BYB3422026-05-27
TAKEUCHI Yuji 竹內祐二
DealingAdvisingCorp Finance
BYB4992026-05-27
NINOMIYA Gota 二ノ宮豪太
DealingAdvisingCorp Finance
BYB6232026-05-27
HATTORI Ryo 服部遼
DealingAdvisingCorp Finance
BYB3202026-05-26
INAMI Koki 井浪孝紀
DealingAdvisingCorp Finance
BYB2862026-05-26
OKU Naoya 奧直哉
DealingAdvisingCorp Finance
BYA9092026-05-20
NAKAGAWA Keisuke 中川圭介
DealingAdvisingCorp Finance
BXX8532026-04-29
HIRANUMA Shin 平沼槙
DealingAdvisingCorp Finance
BXX5262026-04-29
FUJITA Kazuya 藤田和哉
DealingAdvisingCorp Finance
BXV9122026-04-09
KYOGOKU Rei 京極玲
DealingAdvisingCorp Finance
BVZ6492026-03-19
SUDO Hideo 須藤秀夫
DealingAdvisingCorp Finance
BVZ8742026-03-19
YOSHINO Yutaka 吉野豊
Advising
BVX4432026-03-19
UMENO Tetsuro
DealingAdvisingCorp Finance
BWL9192026-03-19
SHIMAMURA Sei 島村成
DealingAdvisingCorp Finance
BWL1812026-03-19
SATAKE Atsushi 佐竹篤
DealingAdvisingCorp Finance
BWI7962026-03-19
TAKAHASHI Shuichiro 高橋秀一郎
DealingAdvisingCorp Finance
BWI6452026-03-19
SUETSUGU Kango
DealingAdvisingCorp Finance
BWI2852026-03-19

Top competitors by talent overlap

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