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Brian Ing Pu Hsieh

Rbc Securities, Inc

Beverley Hills, CA

Los Angeles, CA

Los Angeles, CA

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Current Employers
Rbc Securities, Inc

555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-04-28
  • CA RA
    APPROVED
    Since 2022-04-28

Branch Locations

400 North Roxbury Dr., 6Th Floor, Beverley Hills, CA 90210 • United States

Los Angeles, CA • United States

555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • 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
OrganizationCityStateFromTo
Wells Fargo Investments, Llc Newport Beach CA 01/2002 08/2019
City National Rochdale Beverly Hills CA 10/2019 Present
  • 01/2002 → 08/2019
    Wells Fargo Investments, Llc
    Newport Beach, CA
  • 10/2019 → Present
    City National Rochdale
    Beverly Hills, CA
Previous Registrations
  • 2019-10-30 → 2022-04-28
    Rbc Rochdale, Llc
    Beverly Hills, CA
    New York, NY
  • 2002-03-27 → 2005-05-18
    Wells Fargo Investments, Llc
    Newport Beach, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-03-28
S65 Uniform Investment Adviser Law Examination 1995-09-13
  • S63 Uniform Securities Agent State Law Examination
    2022-03-28
  • S65 Uniform Investment Adviser Law Examination
    1995-09-13
Designations
Other Names
  • Brian Hsieh
  • Brian I Hsieh

View on SEC IAPD

Other Firms

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MONOGRAM CAPITAL MANAGEMENT, L.P.
CHEVIOT VALUE MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
STEELPEAK WEALTH, LLC
JS ALAN, LLC
HSBC SECURITIES (USA) INC.

Other Investors

ROYA YEROSHALMI
James Maxwell Whiting
MARTIN RIYAD IRANI
DARREN CLAY POLLOCK
DAVID AARON HORVITZ
Catherine Spragge Siphron
Amanda Madison Leger
AARON D SANOR

Other Offices

PKS ADVISORY SERVICES, LLC · BEVERLEY HILLS, CA
MONOGRAM CAPITAL MANAGEMENT, L.P. · BEVERLY HILLS, CA
CHEVIOT VALUE MANAGEMENT, LLC · BEVERLY HILLS, CA
WELLS FARGO CLEARING SERVICES, LLC · BEVERLY HILLS, CA
WELLS FARGO CLEARING SERVICES, LLC · BEVERLY HILLS, CA
WELLS FARGO CLEARING SERVICES, LLC · BEVERLY HILLS, CA
WELLS FARGO CLEARING SERVICES, LLC · BEVERLY HILLS, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · BEVERLY HILLS, CA

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