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Current Employers
Hsbc Securities (Usa) Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2025-03-12
GA RA APPROVED 2024-09-20
SD RA APPROVED 2023-08-07
TX RA APPROVED_RES 2021-09-16
NY RA APPROVED 2021-07-14
NC RA APPROVED 2020-05-20
DE RA APPROVED 2019-04-15
CT RA APPROVED 2015-12-07
  • AL RA
    APPROVED
    Since 2025-03-12
  • GA RA
    APPROVED
    Since 2024-09-20
  • SD RA
    APPROVED
    Since 2023-08-07
  • TX RA
    APPROVED_RES
    Since 2021-09-16
  • NY RA
    APPROVED
    Since 2021-07-14
  • NC RA
    APPROVED
    Since 2020-05-20
  • DE RA
    APPROVED
    Since 2019-04-15
  • CT RA
    APPROVED
    Since 2015-12-07

Branch Locations

1572 Union Tpke, New Hyde Park, NY 11040 • United States

New Hyde Park, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Hsbc Bank Usa, National Association Port Washington NY 01/2016 Present
Hsbc Securities Usa, Inc. Port Washington NY 01/2016 Present
  • 01/2016 → Present
    Hsbc Bank Usa, National Association
    Port Washington, NY
  • 01/2016 → Present
    Hsbc Securities Usa, Inc.
    Port Washington, NY
Previous Registrations
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
S65 Uniform Investment Adviser Law Examination 2011-12-16
S66 Uniform Combined State Law Examination 2008-05-23
S63 Uniform Securities Agent State Law Examination 1998-10-20
  • S65 Uniform Investment Adviser Law Examination
    2011-12-16
  • S66 Uniform Combined State Law Examination
    2008-05-23
  • S63 Uniform Securities Agent State Law Examination
    1998-10-20
Designations
Other Names
  • Tom Chien
  • Yeong Keng Chien
  • Tom Chien
  • Yeongkeng Chien

View on SEC IAPD

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