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Current Employers
Hsbc Securities (Usa) Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-10-26
  • CA RA
    APPROVED
    Since 2024-10-26

Branch Locations

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
OrganizationCityStateFromTo
J. P. Morgan Securities Llc Milpitas CA 08/2022 07/2023
Jpmorgan Chase Bank N. A. Milpitas CA 08/2022 07/2023
Oregon State University - Market Place West Dining Hall Corvallis OR 09/2017 06/2019
Unemplolyed Corvallis OR 09/2016 08/2017
Unemployed Fremont CA 07/2019 07/2022
Northring L.L.C Fremont CA 06/2022 Present
Hsbc Bank Usa Na Cupertino CA 07/2023 Present
Hsbc Securities Usa Inc. Irvine CA 08/2023 Present
  • 08/2022 → 07/2023
    J. P. Morgan Securities Llc
    Milpitas, CA
  • 08/2022 → 07/2023
    Jpmorgan Chase Bank N. A.
    Milpitas, CA
  • 09/2017 → 06/2019
    Oregon State University - Market Place West Dining Hall
    Corvallis, OR
  • 09/2016 → 08/2017
    Unemplolyed
    Corvallis, OR
  • 07/2019 → 07/2022
    Unemployed
    Fremont, CA
  • 06/2022 → Present
    Northring L.L.C
    Fremont, CA
  • 07/2023 → Present
    Hsbc Bank Usa Na
    Cupertino, CA
  • 08/2023 → Present
    Hsbc Securities Usa Inc.
    Irvine, CA
Other Businesses

1. The name of the other business - NA 2. Whether the business is investment-related: NO 3. The address of the other business - 3839 Development Ter, Unit #1003 Fremont 94538 4. The nature of the other business: House Rent 5. Your position: House Owner 6. Title/Relationship with the other business: Owner 7. The start date of your relationship: 8/1/2025 8. The approximate number of hours/month you devote to the other business: 2 9. The number of hours you devote to the other business during securities trading hours: 0 10. Briefly describe your duties relating to the other business: I'm the house owner, I only need to take care if tenants have issues with the house.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-10-25
S63 Uniform Securities Agent State Law Examination 2022-11-04
  • S66 Uniform Combined State Law Examination
    2024-10-25
  • S63 Uniform Securities Agent State Law Examination
    2022-11-04
Other Names
  • Simon Fei

View on SEC IAPD

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