Yi Min

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

• 07/2018 → 02/2022
  Hsbc Bank Usa, N.A.
  New York, NY
• 11/2016 → 01/2017
  L'OCcitane
  New York, NY
• 02/2022 → 12/2022
  Citizens Securities, Inc.
  New York, NY
• 12/2022 → 03/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Brooklyn, NY
• 12/2022 → 03/2024
  Bank Of America N.A.
  Brooklyn, NY
• 01/2017 → 07/2018
  Hsbc Bank Usa, N.A.
  New York, NY
• 03/2024 → Present
  Hsbc Bank Usa, N.A.
  New York, NY
• 03/2024 → Present
  Hsbc Securities (Usa) Inc
  New York, NY

Previous Registrations

• 2023-06-01 → 2024-03-12
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Brooklyn, NY
  Brooklyn, NY
  New York, NY
  Brooklyn, NY

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.

Exams

• S66 Uniform Combined State Law Examination
  2023-05-31
• S63 Uniform Securities Agent State Law Examination
  2021-02-09

Other Names

• Ella Min