Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TUCKER, STELLAR KIM
Chinese Name of Relevant Individual
HKMA Registration Number
AH8176
Current Registration
Not Applicable
Business Address
Not Applicable
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
22 Jul 2019 - 26 Jul 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
22 Jul 2019 - 26 Jul 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
22 Jul 2019 - 26 Jul 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
17 May 2019 - 24 May 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
17 May 2019 - 24 May 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
17 May 2019 - 24 May 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
05 Nov 2018 - 09 Nov 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
05 Nov 2018 - 09 Nov 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
05 Nov 2018 - 09 Nov 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
20 Aug 2018 - 24 Aug 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
20 Aug 2018 - 24 Aug 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
20 Aug 2018 - 24 Aug 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
15 Jun 2018 - 22 Jun 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
15 Jun 2018 - 22 Jun 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
15 Jun 2018 - 22 Jun 2018
Is an Executive Officer? (Yes / No)
No
Records: 1-15 of 15
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
TUCKER, STELLAR KIM
:
Chinese Name of Relevant Individual
:
HKMA Registration Number
AH8176
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AH8176
UBS AG
Type 1: dealing in securities
22 Jul 2019 - 26 Jul 2019
No
AH8176
UBS AG
Type 4: advising on securities
22 Jul 2019 - 26 Jul 2019
No
AH8176
UBS AG
Type 6: advising on corporate finance
22 Jul 2019 - 26 Jul 2019
No
AH8176
UBS AG
Type 1: dealing in securities
17 May 2019 - 24 May 2019
No
AH8176
UBS AG
Type 4: advising on securities
17 May 2019 - 24 May 2019
No
AH8176
UBS AG
Type 6: advising on corporate finance
17 May 2019 - 24 May 2019
No
AH8176
UBS AG
Type 1: dealing in securities
05 Nov 2018 - 09 Nov 2018
No
AH8176
UBS AG
Type 4: advising on securities
05 Nov 2018 - 09 Nov 2018
No
AH8176
UBS AG
Type 6: advising on corporate finance
05 Nov 2018 - 09 Nov 2018
No
AH8176
UBS AG
Type 1: dealing in securities
20 Aug 2018 - 24 Aug 2018
No
AH8176
UBS AG
Type 4: advising on securities
20 Aug 2018 - 24 Aug 2018
No
AH8176
UBS AG
Type 6: advising on corporate finance
20 Aug 2018 - 24 Aug 2018
No
AH8176
UBS AG
Type 1: dealing in securities
15 Jun 2018 - 22 Jun 2018
No
AH8176
UBS AG
Type 4: advising on securities
15 Jun 2018 - 22 Jun 2018
No
AH8176
UBS AG
Type 6: advising on corporate finance
15 Jun 2018 - 22 Jun 2018
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.