Lan Li

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:

Current Employers

Hsbc Securities (Usa) Inc.

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

Current Registrations

Authority	Category	Status	Date
MI	RA	APPROVED	2026-07-13
PA	RA	APPROVED	2024-05-21
TX	RA	APPROVED	2023-05-19
AZ	RA	APPROVED	2022-08-15
NJ	RA	APPROVED	2022-03-25
FL	RA	APPROVED	2021-09-16
OR	RA	APPROVED	2021-07-01
NC	RA	APPROVED	2013-09-06
CA	RA	APPROVED	2010-02-12

MI RA
APPROVED

Since 2026-07-13
PA RA
APPROVED

Since 2024-05-21
TX RA
APPROVED

Since 2023-05-19
AZ RA
APPROVED

Since 2022-08-15
NJ RA
APPROVED

Since 2022-03-25
FL RA
APPROVED

Since 2021-09-16
OR RA
APPROVED

Since 2021-07-01
NC RA
APPROVED

Since 2013-09-06
CA RA
APPROVED

Since 2010-02-12

Branch Locations

Mountain View, CA • United States

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.	Mountain View	CA	08/2013	Present
Hsbc Securities (Usa) Inc.	San Jose	CA	05/2012	Present

08/2013 → Present

Hsbc Bank Usa N.A.

Mountain View, CA
05/2012 → Present

Hsbc Securities (Usa) Inc.

San Jose, CA

Previous Registrations

2007-06-20 → 2010-02-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA
2005-11-23 → 2007-02-06

Wells Fargo Investments, Llc

San Francisco, CA

San Francisco, CA

San Francisco, CA

Other Businesses

rental property 556 Santa Rosalia Ter, Sunnyvale, CA 94085 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

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-11-21

S66 Uniform Combined State Law Examination

2005-11-21

Designations

Certified Financial Planner

View on SEC IAPD