Katie Jiang

$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:

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

Current Registrations

Authority	Category	Status	Date
ND	RA	APPROVED	2026-02-25
DC	RA	APPROVED	2026-02-23
GA	RA	APPROVED	2026-02-20
LA	RA	APPROVED	2026-02-20
NM	RA	APPROVED	2026-02-20
UT	RA	APPROVED	2026-02-20
VI	RA	APPROVED	2026-02-20
AL	RA	APPROVED	2026-02-19
AK	RA	APPROVED	2026-02-19
DE	RA	APPROVED	2026-02-19
IA	RA	APPROVED	2026-02-19
KS	RA	APPROVED	2026-02-19
ME	RA	APPROVED	2026-02-19
MN	RA	APPROVED	2026-02-19
MT	RA	APPROVED	2026-02-19
NE	RA	APPROVED	2026-02-19
PR	RA	APPROVED	2026-02-19
NC	RA	APPROVED	2025-11-03
TX	RA	APPROVED	2025-11-03
MD	RA	APPROVED	2025-07-22
NY	RA	APPROVED	2025-06-30

Branch Locations

66 Hudson Boulevard 29Th Floor, New York, NY 10001 • United States

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

Organization	City	State	From	To
Hsbc Bank Usa, N.A.	New York	NY	07/2013	Present
Hsbc Securities (Usa) Inc.	New York	NY	08/2013	Present

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2025-06-30
S63	Uniform Securities Agent State Law Examination	2010-06-13