Keith K. Leong
Professional summary
Keith K Leong, who also goes by Keith K Leong, Keith N Leong, Newton Keith Leong, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in New York, New York.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Keith has worked at 14 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 10, Series 9, Series 8 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Keith K Leong's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith K Leong's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 11, 2025 - Present
HSBC SECURITIES (USA) INC.
Office #1: 250 Park Ave., New York, NY 10177July 14, 2025 - Present
HSBC SECURITIES (USA) INC.
Office #1: 250 Park Ave., New York, NY 10177January 25, 2022 - January 10, 2024
CHARLES SCHWAB & CO., INC.
January 25, 2022 - January 10, 2024
CHARLES SCHWAB & CO., INC.
April 4, 2021 - October 14, 2022
TD AMERITRADE, INC.
April 4, 2021 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 24, 2021 - December 20, 2023
TD AMERITRADE, INC.
October 28, 2020 - February 11, 2021
CETERA INVESTMENT ADVISERS LLC
October 27, 2020 - February 11, 2021
CETERA INVESTMENT SERVICES LLC
April 13, 2016 - November 6, 2018
TD AMERITRADE, INC.
April 13, 2016 - November 6, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 7, 2016 - November 6, 2018
TD AMERITRADE, INC.
January 28, 2004 - January 15, 2016
CHARLES SCHWAB & CO., INC.
June 25, 2001 - August 7, 2002
ELECTRONIC TRADING GROUP, LLC
June 11, 1998 - July 12, 1999
METROPOLITAN LIFE INSURANCE COMPANY
June 9, 1998 - July 12, 1999
MSI FINANCIAL SERVICES, INC.
September 25, 1995 - May 18, 1998
STUART, COLEMAN & CO., INC.
August 5, 1993 - November 30, 1994
T.R. WINSTON & COMPANY, LLC
February 1, 1993 - July 28, 1993
BLUESTONE CAPITAL CORP.
June 17, 1992 - January 14, 1993
LEHMAN BROTHERS INC.
April 18, 1989 - July 6, 1992
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/11/2025)
(7/14/2025)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 8
Date: 1/29/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HSBC MARKETS (USA), INC. | PARENT | |
| BENDER, SETH P | GENERAL COUNSEL | 4547812 |
| BUSCAGLIA, SARA FAYE | DIRECTOR | 4884059 |
| HENDERSON, JASON RYAN | PRESIDENT/CEO/DIRECTOR | 7207400 |
| MEHTA, ORESTA I | DIRECTOR | 7056066 |
| NATALE, DUSTIN | CHIEF COMPLIANCE OFFICER (BD) AND HEAD OF MSS COMPLIANCE | 5581428 |
| PALOMAKI, DANIEL S | INTERIM CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6817317 |
| PECORELLA, ANTHONY | INTERIM HEAD OF OPERATIONS / PRINCIPAL OPERATIONS OFFICER | 1948919 |
| SHAW, IAN G | MANAGING DIRECTOR, HEAD OF US WPB COMPLIANCE AND CHIEF COMPLIANCE OFFICER OF RIA | 7051510 |
Regulatory assets under management
| Total Number of Accounts | 12,180 |
| AUM (Assets Under Management) | $ 3,232,551,904 |
Disclosures
| Regulatory Event | 86 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 12/11/2024 | ||
| 10/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
