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Shuiwah Stella Li

Hsbc Securities (Usa) Inc.

Arcadia, CA

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Current Employers
Hsbc Securities (Usa) Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-04-21
NC RA APPROVED 2025-08-28
CA RA APPROVED 2023-07-26
NY RA APPROVED 2023-07-26
  • FL RA
    APPROVED
    Since 2026-04-21
  • NC RA
    APPROVED
    Since 2025-08-28
  • CA RA
    APPROVED
    Since 2023-07-26
  • NY RA
    APPROVED
    Since 2023-07-26

Branch Locations

1107 S. Baldwin Avenue Suite C, Arcadia, CA 91007 • 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 Securities (Usa) Inc. New York City NY 01/2005 Present
Hsbc Bank Usa, N.A. New York City NY 01/2005 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-07-26
S63 Uniform Securities Agent State Law Examination 1997-12-04
  • S66 Uniform Combined State Law Examination
    2023-07-26
  • S63 Uniform Securities Agent State Law Examination
    1997-12-04
Other Names
  • Stella Li
  • Shuiwah S Li

View on SEC IAPD

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