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Richard Dean Shu

Hsbc Securities (Usa) Inc.

Tysons, VA

CRD 4327186

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Employer firm

Hsbc Securities (Usa) Inc. CRD 19585

$3.84B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers
  • PROVIDE ASSET ALLOC RECOMMENDATIONS & BASED UPON SUCH RECOMMENDATIONS 3RD PARTY ADV TO MANAGE ASSETS PURSUANT TO CLIENT APPROVAL

From the firm’s Form ADV. Read the guides:

Current Employers
Hsbc Securities (Usa) Inc.

66 Husdson Boulevard East, New York, NY 10001 • United States

Current Registrations

AuthorityCategoryStatusDate
PR RA APPROVED 2026-07-06
ND RA APPROVED 2026-04-24
AK RA APPROVED 2026-04-23
NM RA APPROVED 2026-04-16
NY RA APPROVED 2026-04-16
VI RA APPROVED 2026-04-16
DE RA APPROVED 2026-04-15
IA RA APPROVED 2026-04-15
KS RA APPROVED 2026-04-15
LA RA APPROVED 2026-04-15
ME RA APPROVED 2026-04-15
MN RA APPROVED 2026-04-15
MT RA APPROVED 2026-04-15
TX RA APPROVED_RES 2026-04-15
UT RA APPROVED 2026-04-15
DC RA APPROVED 2025-12-15
NC RA APPROVED 2025-05-14
MD RA APPROVED 2023-06-07
VA RA APPROVED 2023-06-07
  • PR RA
    APPROVED
    Since 2026-07-06
  • ND RA
    APPROVED
    Since 2026-04-24
  • AK RA
    APPROVED
    Since 2026-04-23
  • NM RA
    APPROVED
    Since 2026-04-16
  • NY RA
    APPROVED
    Since 2026-04-16
  • VI RA
    APPROVED
    Since 2026-04-16
  • DE RA
    APPROVED
    Since 2026-04-15
  • IA RA
    APPROVED
    Since 2026-04-15
  • KS RA
    APPROVED
    Since 2026-04-15
  • LA RA
    APPROVED
    Since 2026-04-15
  • ME RA
    APPROVED
    Since 2026-04-15
  • MN RA
    APPROVED
    Since 2026-04-15
  • MT RA
    APPROVED
    Since 2026-04-15
  • TX RA
    APPROVED_RES
    Since 2026-04-15
  • UT RA
    APPROVED
    Since 2026-04-15
  • DC RA
    APPROVED
    Since 2025-12-15
  • NC RA
    APPROVED
    Since 2025-05-14
  • MD RA
    APPROVED
    Since 2023-06-07
  • VA RA
    APPROVED
    Since 2023-06-07

Branch Locations

1800 Tysons Bld. Suite 560, Tysons, VA 22102 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Hsbc Bank (Usa) N.A. Mclean VA 06/2013 Present
Hsbc Securities (Usa) Inc. Mclean VA 06/2013 Present
Other Businesses

Dual hatted as a Bank Officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc., engaging in the sale of bank related products and services. This position will be in conjunction with my current role as a registered representative with HSBC Securities (USA) Inc.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-06-06
  • S66 Uniform Combined State Law Examination
    2023-06-06

View on SEC IAPD

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