Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
BROWN, NICHOLAS PHILLIP
Chinese Name of Relevant Individual
HKMA Registration Number
AG6947
Other HKMA Registration Number(s)
AF5053
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
First date of engagement
23 Sep 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
First date of engagement
23 Sep 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
First date of engagement
23 Sep 2023
Is an Executive Officer? (Yes / No)
No
Capacity
INV. BANKING TEAM LEADER
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
UBS AG
SFC CE number
AEP554
Business Address
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 23 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
Since 23 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
Since 23 Sep 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Nov 2022 - 29 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
25 Nov 2022 - 29 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
25 Nov 2022 - 29 Nov 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Apr 2019 - 15 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 Apr 2019 - 15 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
11 Apr 2019 - 15 Apr 2019
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Mar 2018 - 16 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
09 Mar 2018 - 16 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
09 Mar 2018 - 16 Mar 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 1: dealing in securities
Effective Period
19 Mar 2015 - 24 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 4: advising on securities
Effective Period
19 Mar 2015 - 24 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
UBS AG
Regulated Activity
Type 6: advising on corporate finance
Effective Period
19 Mar 2015 - 24 Jul 2017
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 21
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
BROWN, NICHOLAS PHILLIP
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AG6947
:
Other HKMA Registration Number(s)
AF5053
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
UBS AG
Type 1: dealing in securities
23 Sep 2023
No
INV. BANKING TEAM LEADER
UBS AG
Type 4: advising on securities
23 Sep 2023
No
INV. BANKING TEAM LEADER
UBS AG
Type 6: advising on corporate finance
23 Sep 2023
No
INV. BANKING TEAM LEADER
Name of Registered Institution
SFC CE number
Business Address
UBS AG
AEP554
52/F, TWO INTERNATIONAL FINANCE CENTRE, 8 FINANCE STREET, CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AG6947
UBS AG
Type 1: dealing in securities
Since 23 Sep 2023
No
AG6947
UBS AG
Type 4: advising on securities
Since 23 Sep 2023
No
AG6947
UBS AG
Type 6: advising on corporate finance
Since 23 Sep 2023
No
AG6947
UBS AG
Type 1: dealing in securities
25 Nov 2022 - 29 Nov 2022
No
AG6947
UBS AG
Type 4: advising on securities
25 Nov 2022 - 29 Nov 2022
No
AG6947
UBS AG
Type 6: advising on corporate finance
25 Nov 2022 - 29 Nov 2022
No
AG6947
UBS AG
Type 1: dealing in securities
11 Apr 2019 - 15 Apr 2019
No
AG6947
UBS AG
Type 4: advising on securities
11 Apr 2019 - 15 Apr 2019
No
AG6947
UBS AG
Type 6: advising on corporate finance
11 Apr 2019 - 15 Apr 2019
No
AG6947
UBS AG
Type 1: dealing in securities
09 Mar 2018 - 16 Mar 2018
No
AG6947
UBS AG
Type 4: advising on securities
09 Mar 2018 - 16 Mar 2018
No
AG6947
UBS AG
Type 6: advising on corporate finance
09 Mar 2018 - 16 Mar 2018
No
AG6947
UBS AG
Type 1: dealing in securities
19 Mar 2015 - 24 Jul 2017
No
AG6947
UBS AG
Type 4: advising on securities
19 Mar 2015 - 24 Jul 2017
No
AG6947
UBS AG
Type 6: advising on corporate finance
19 Mar 2015 - 24 Jul 2017
No
AF5053
UBS AG
Type 1: dealing in securities
01 Mar 2012 - 18 Mar 2015
No
AF5053
UBS AG
Type 4: advising on securities
01 Mar 2012 - 18 Mar 2015
No
AF5053
UBS AG
Type 6: advising on corporate finance
01 Mar 2012 - 18 Mar 2015
No
AF5053
UBS AG
Type 1: dealing in securities
23 Feb 2012
No
AF5053
UBS AG
Type 4: advising on securities
23 Feb 2012
No
AF5053
UBS AG
Type 6: advising on corporate finance
23 Feb 2012
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.