Cindy Shu-yin Chen

Current Employers

Hsbc Securities (Usa) Inc.

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-09-16
IN	RA	APPROVED	2024-10-10
PA	RA	APPROVED	2023-09-14
AZ	RA	APPROVED	2022-09-20
WA	RA	APPROVED	2019-01-07
HI	RA	APPROVED	2018-06-29
AK	RA	APPROVED	2014-01-03
UT	RA	APPROVED	2012-03-21
NV	RA	APPROVED	2010-08-06
TX	RA	APPROVED	2010-07-28
CA	RA	APPROVED	2010-07-14

FL RA
APPROVED

Since 2025-09-16
IN RA
APPROVED

Since 2024-10-10
PA RA
APPROVED

Since 2023-09-14
AZ RA
APPROVED

Since 2022-09-20
WA RA
APPROVED

Since 2019-01-07
HI RA
APPROVED

Since 2018-06-29
AK RA
APPROVED

Since 2014-01-03
UT RA
APPROVED

Since 2012-03-21
NV RA
APPROVED

Since 2010-08-06
TX RA
APPROVED

Since 2010-07-28
CA RA
APPROVED

Since 2010-07-14

Branch Locations

Walnut, CA • United States

15315 Culver Drive Suite # 187, Irvine, CA 92604 • 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.	Arcadia	CA	04/2013	Present
Hsbc Bank Usa, N.A.	Arcadia	CA	08/2016	Present

04/2013 → Present

Hsbc Securities (Usa) Inc.

Arcadia, CA
08/2016 → Present

Hsbc Bank Usa, N.A.

Arcadia, CA

Previous Registrations

2003-02-03 → 2010-07-06

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pasadena, CA

Pasadena, CA

Other Businesses

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. 1.The name of the other business: Investment property under my name 2.Whether the business is investment-related: Yes 3.The address of the other business: 22775 Lakeway Dr, Unit 450, Diamond Bar, CA 91765 4.The nature of the other business: Investment property 5.Your position: property owner 6.Title: property owner 7.Relationship with the other business: property owner 8.The start date of your relationship: 07/01/2014 9.The approximate number of hours/month you devote to the other business:1-2 hours the most/month 10.The number of hours you devote to the other business during securities trading hours: none 11.Briefly describe your duties relating to the other business: make sure tenant pays rent monthly and call home protection if needed for repair/replace home system and appliances.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-07-05
S63	Uniform Securities Agent State Law Examination	2000-08-02

S66 Uniform Combined State Law Examination

2001-07-05
S63 Uniform Securities Agent State Law Examination

2000-08-02

View on SEC IAPD