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Petty Tingyuk Yao

Hsbc Securities (Usa) Inc.

Cupertino, CA

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Current Employers
Hsbc Securities (Usa) Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2026-03-10
TX RA APPROVED 2024-11-06
FL RA APPROVED 2024-11-01
CA RA APPROVED 2024-02-01
  • AZ RA
    APPROVED
    Since 2026-03-10
  • TX RA
    APPROVED
    Since 2024-11-06
  • FL RA
    APPROVED
    Since 2024-11-01
  • CA RA
    APPROVED
    Since 2024-02-01

Branch Locations

10297 S. De Anza Blvd, Cupertino, CA 95014 • 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
Citigroup Global Markets Inc. San Bruno CA 05/2007 11/2021
Morgan Stanley Smith Barney Llc Burlingame CA 11/2021 01/2024
Hsbc Bank Usa National Association Fremont CA 01/2024 Present
Hsbc Securities (Usa) Inc. Fremont CA 01/2024 Present
Previous Registrations
  • 2021-11-12 → 2024-01-24
    Morgan Stanley
    Burlingame, CA
  • 2012-04-20 → 2021-11-15
    Citigroup Global Markets Inc.
    San Antonio, TX
    San Bruno, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    San Jose, CA
    Millbrae, CA
    Westlake Village, CA
    San Francisco, CA
    Fresno, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-09-22
S63 Uniform Securities Agent State Law Examination 1998-03-02
  • S66 Uniform Combined State Law Examination
    2025-09-22
  • S63 Uniform Securities Agent State Law Examination
    1998-03-02
Other Names
  • Petty Ty Yao
  • Petty Tingyuk Yao
  • Petty T Yao

View on SEC IAPD

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