Dat Shui C. Lui
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dat Shui Clarence Lui, who also goes by Clarence Lui, Dat-shui C Lui, Datshui Clarence Lui, was a registered financial professional .
Dat Shui is a previously registered financial professional and started their career in finance in 1994. Dat Shui had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2024 - March 19, 2026
HSBC SECURITIES (USA) INC.
August 25, 2024 - March 19, 2026
HSBC SECURITIES (USA) INC.
August 10, 2022 - August 22, 2024
CITIGROUP GLOBAL MARKETS INC.
August 10, 2022 - August 22, 2024
CITIGROUP GLOBAL MARKETS INC.
July 8, 2021 - July 15, 2021
CITIGROUP GLOBAL MARKETS INC.
July 8, 2021 - July 15, 2021
CITIGROUP GLOBAL MARKETS INC.
March 19, 2008 - August 19, 2022
HSBC SECURITIES (USA) INC.
March 19, 2008 - August 19, 2022
HSBC SECURITIES (USA) INC.
January 17, 2007 - March 4, 2008
HARRISDIRECT LLC
February 3, 2006 - March 4, 2008
E*TRADE SECURITIES LLC
June 17, 2004 - January 24, 2006
TD AMERITRADE, INC.
February 24, 2004 - January 24, 2006
TD AMERITRADE, INC.
August 6, 2002 - August 14, 2003
EDWARD JONES
May 13, 2002 - June 4, 2002
METROPOLITAN LIFE INSURANCE COMPANY
May 13, 2002 - June 4, 2002
MSI FINANCIAL SERVICES, INC.
April 30, 2001 - October 4, 2001
ING FINANCIAL MARKETS LLC
July 1, 1998 - April 30, 2001
ABN AMRO SECURITIES LLC
August 3, 1994 - July 1, 1998
ING BARING (U.S.) SECURITIES, 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
Exams
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 | |
| BUSCAGLIA, SARA FAYE | DIRECTOR | 4884059 |
| GOODWIN, CARY LONGSTRETH | PRESIDENT/CEO/DIRECTOR | 3092972 |
| 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 |
| WIRGIN, MICHAEL K | GENERAL COUNSEL | 7050015 |
Regulatory assets under management
| Total Number of Accounts | 12,180 |
| AUM (Assets Under Management) | $ 3,232,551,904 |
Disclosures
| Regulatory Event | 87 |
| 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.
