Michael Hawk Tong

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-10-06
CA	RA	APPROVED	2025-10-03

Branch Locations

225 W Santa Clara St Ste 1600, San Jose, CA 95113-1723 • United States

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

Organization	City	State	From	To
Axa Advisors Llc	New York	NY	06/2014	11/2016
Hsbc Bank Usa National Association	Cupertino	CA	11/2016	07/2022
Hsbc Sercurities (Usa) Inc.	Cupertino	CA	12/2016	07/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Palo Alto	CA	07/2022	10/2025
Bank Of America, N.A.	Palo Alto	CA	09/2022	09/2025
Ameriprise Financial Services, Llc	Ssan Jose	CA	10/2025	Present

06/2014 → 11/2016

Axa Advisors Llc

New York, NY
11/2016 → 07/2022

Hsbc Bank Usa National Association

Cupertino, CA
12/2016 → 07/2022

Hsbc Sercurities (Usa) Inc.

Cupertino, CA
07/2022 → 10/2025

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Palo Alto, CA
09/2022 → 09/2025

Bank Of America, N.A.

Palo Alto, CA
10/2025 → Present

Ameriprise Financial Services, Llc

Ssan Jose, CA

2022-07-11 → 2025-10-07

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Palo Alto, CA
2017-02-02 → 2022-07-15

Hsbc Securities (Usa) Inc.

Cupertino, CA

Real Estate Ownership; Multi-Family; 1921 6th Ave, , Oakland, CA, 94606; Not Investment-Related; 06/01/2016.

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-01-13
S63	Uniform Securities Agent State Law Examination	2004-10-04