Sung Yu Liu

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-04-05
NC	RA	APPROVED	2023-03-16
FL	RA	APPROVED	2021-09-03
OR	RA	APPROVED	2020-06-29
UT	RA	APPROVED	2020-05-18
NV	RA	APPROVED	2018-07-10
WA	RA	APPROVED	2017-10-24
CA	RA	APPROVED	2011-08-29

TX RA
APPROVED_RES

Since 2024-04-05
NC RA
APPROVED

Since 2023-03-16
FL RA
APPROVED

Since 2021-09-03
OR RA
APPROVED

Since 2020-06-29
UT RA
APPROVED

Since 2020-05-18
NV RA
APPROVED

Since 2018-07-10
WA RA
APPROVED

Since 2017-10-24
CA RA
APPROVED

Since 2011-08-29

Branch Locations

Cupertino, CA • United States

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

Organization	City	State	From	To
Hsbc Securities (Usa) Inc	Cupertino	CA	04/2013	Present
Hsbc Bank Usa, N.A.	Cupertino	CA	08/2016	Present

04/2013 → Present

Hsbc Securities (Usa) Inc

Cupertino, CA
08/2016 → Present

Hsbc Bank Usa, N.A.

Cupertino, CA

Previous Registrations

2007-10-10 → 2011-08-17

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Jose, CA
2007-07-20 → 2007-10-16

Waddell & Reed

Seattle, WA

Other Businesses

(1)I OWN A RENTAL PROPERTY IN SUNNYVALE CA; IT'S NOT INVESTMENT RELATED. THE ADDRESS IS "865 CARLISLE WAY, # 107, SUNNYVALE, CA". MY HUSBAND AND I ARE THE OWNERS (LANDLORDS) OF THE PROPERTY. WE STARTED TO RENT THIS PROPERTY FROM 2/1/2015. WE USE A PROPERTY MANAGEMENT FIRM TO MANAGE THIS RENTAL PROPERTY; THEREFORE, I SPEND 0 HOURS ON THIS OUTSIDE BUSINESS ACTIVITY. 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

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-07-19

S66 Uniform Combined State Law Examination

2007-07-19

Other Names

Sung-Yu Liu
Sharon Liu

View on SEC IAPD