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Yuen Yan Joyce Shih

Hsbc Securities (Usa) Inc.

New York, NY

CRD 6164414

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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

AuthorityCategoryStatusDate
WA RA APPROVED 2024-01-08
  • WA RA
    APPROVED
    Since 2024-01-08

Branch Locations

66 Hudson Boulevard 29Th Floor, New York, NY 10001 • 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
Hsbc Bank (Usa) Inc. Bellevue WA 07/2015 Present
Hsbc Securities (Usa) Inc. Bellevue WA 07/2015 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-01-08
S63 Uniform Securities Agent State Law Examination 2015-06-08
  • S66 Uniform Combined State Law Examination
    2024-01-08
  • S63 Uniform Securities Agent State Law Examination
    2015-06-08
Other Names
  • Yuen Shih
  • Joyce Shih

View on SEC IAPD

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