Denny Tsuei

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

• 05/2016 → 02/2018
  Scottrade Trade Inc
  Fremont, CA
• 02/2018 → 09/2018
  Td Ameritrade, Inc.
  Fremont, CA
• 02/2018 → 09/2018
  Td Ameritrade Investment Management, Llc
  Omaha, NE
• 09/2018 → 05/2019
  Citigroup
  San Francisco, CA
• 06/2019 → Present
  Hsbc Securities Usa, Inc.
  New York, NY
• 05/2019 → Present
  Hsbc Bank Usa, N.A.
  New York, NY

Previous Registrations

• 2018-09-27 → 2019-06-11
  Citigroup Global Markets Inc.
  San Francisco, CA
• 2018-02-27 → 2018-08-31
  Td Ameritrade, Inc.
  Fremont, CA
• 2018-02-26 → 2018-08-31
  Td Ameritrade Investment Management, Llc
  Omaha, NE
  Fremont, CA
• 2017-01-25 → 2018-02-26
  Scottrade Investment Management
  Saint Louis, MO
• 2013-08-29 → 2016-05-26
  Hsbc Securities (Usa) Inc.
  Fremont, CA
  Fremont, CA
• 2007-05-29 → 2013-07-22
  Citigroup Global Markets Inc.
  San Jose, CA
  San Jose, CA
  San Francisco, CA
  San Jose, CA
• 2006-01-03 → 2007-05-29
  Citicorp Investment Services
  San Jose, CA
  San Jose, CA
  San Jose, CA
• 1997-07-08 → 2003-03-04
  Charles Schwab & Co., Inc.
  Milpitas, CA

Other Businesses

Rental Property - San Diego, CA; Investment-related; Affiliation started 07/15/2017; Title: Owner; Duties: Passive management- manager oversees day-to-day; No time is devoted each month during securities trading hours; 3 hours are devoted each month outside securities trading hours. 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

• S65 Uniform Investment Adviser Law Examination
  2004-01-16
• S63 Uniform Securities Agent State Law Examination
  1995-04-10

Other Names

• Denny Tien-En Tsuei
• Denny Tien En Tsuei
• Denny Tsuei