Mark C Chen

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2016 → 06/2017
  Hsbc Bank Usa, N.A.
  Temple City, CA
• 06/2017 → 03/2019
  Unionbanc Investment Services
  Arcadia, CA
• 03/2019 → 02/2022
  Vanbridge (Wholesale)
  San Ramon, CA
• 03/2019 → 02/2022
  The Leaders Group, Inc.
  Littleton, CO
• 02/2022 → Present
  Hsbc Bank Usa, N.A.
  San Gabriel, CA
• 03/2022 → Present
  Hsbc Securities (Usa) Inc.
  San Gabriel, CA

Previous Registrations

• 2019-04-26 → 2022-03-11
  Tlg Advisors, Inc.
  Pleasanton, CA
  Summit, NJ
  San Ramon, CA
• 2017-06-22 → 2019-03-07
  U.S. Bancorp Advisors, Llc
  Arcadia, CA
  San Gabriel, CA
  South Gate, CA
  Norwalk, CA
  Bellflower, CA
• 2015-05-06 → 2017-06-27
  Hsbc Securities (Usa) Inc.
  Temple City, CA
• 2014-11-14 → 2015-03-10
  Edward Jones
  St Louis, MO
  Brea, CA
  Chino Hills, CA
  Chino Hills, CA

Exams

• S66 Uniform Combined State Law Examination
  2014-09-19
• S63 Uniform Securities Agent State Law Examination
  2012-05-23
• S65 Uniform Investment Adviser Law Examination
  2008-10-10

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Mark Chen
• Chih Yu Chen
• Mark Chih Yu Chen
• Mark Chih Yu Chen