Xuan Cao

Current Employers

Hsbc Securities (Usa) Inc.

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2013-05-01

CA RA
APPROVED

Since 2013-05-01

Branch Locations

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 Bank Usa, N.A.	Cupertino	CA	09/2015	Present
Hsbc Securities (Usa) Inc.	Cupertino	CA	09/2015	Present

09/2015 → Present

Hsbc Bank Usa, N.A.

Cupertino, CA
09/2015 → Present

Hsbc Securities (Usa) Inc.

Cupertino, CA

Previous Registrations

2011-10-12 → 2013-04-23

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Jose, CA

Other Businesses

1. The name of the other business: Rental Property 2. Whether the business is investment-related: no 3. The address of the other business: 3037 Kaiser Dr. #D Santa Clara, CA 95051 4. The nature of the other business: Rental 5. Your position: Owner 6. Title Owner 7. Relationship with the other business: Joint owner with spouse 8. The start date of your relationship: 10/01/2022 9. The approximate number of hours/month you devote to the other business: 0 10. The number of hours you devote to the other business during securities trading hours: 0 11. Briefly describe your duties relating to the other business: The rental property is owned by my husband and me. My husband, Xing Han, takes care of this rental property, and I spend 0 hours on this rental property.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-10-11

S66 Uniform Combined State Law Examination

2011-10-11

View on SEC IAPD