DT
Denny Tsuei
HSBC SECURITIES (USA)
Fremont, CA 94538-2117
Some features on this profile are disabled
CRD#: 2580693
DT
Professional summary
Denny Tsuei, who also goes by Denny Tien En Tsuei, Denny Tien-en Tsuei, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Fremont, California.
Denny is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Denny has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Denny Tien En Tsuei | Denny Tien-En Tsuei
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Rental Property - San Diego, CA; Investment-related; Affiliation started 07/15/2017; Title: Owner; Duties: Passive management- manager oversees day-to-day; No time is devoted each month during securities trading hours; 3 hours are devoted each month outside securities trading hours. Dual hatted as a Bank Officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc., engaging in the sale of bank related products and services. This position will be in conjunction with my current role as a registered representative with HSBC Securities (USA) Inc.
CRS (Client Relationship Summary) - RIA
Click below to view Denny Tsuei's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Denny Tsuei's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 18, 2019 - Present
HSBC SECURITIES (USA) INC.
Office #1: 39410 Fremont Boulevard, Fremont, CA 94538-2117RIA
BD
CRD#: 19585
Fremont, CA
Current
June 17, 2019 - Present
HSBC SECURITIES (USA) INC.
Office #1: 39410 Fremont Boulevard, Fremont, CA 94538-2117RIA
BD
CRD#: 19585
Fremont, CA
Past
September 27, 2018 - June 11, 2019
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SAN FRANCISCO, CA
Past
September 27, 2018 - June 11, 2019
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SAN FRANCISCO, CA
Past
February 27, 2018 - August 31, 2018
TD AMERITRADE, INC.
RIA
CRD#: 7870
FREMONT, CA
Past
February 26, 2018 - August 31, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
FREMONT, CA
Past
February 26, 2018 - August 31, 2018
TD AMERITRADE, INC.
BD
CRD#: 7870
FREMONT, CA
Past
January 25, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
May 10, 2016 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
FREMONT, CA
Past
August 29, 2013 - May 26, 2016
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
FREMONT, CA
Past
August 29, 2013 - May 26, 2016
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
FREMONT, CA
Past
May 29, 2007 - July 22, 2013
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SAN JOSE, CA
Past
May 29, 2007 - July 22, 2013
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SAN JOSE, CA
Past
January 3, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
SAN JOSE, CA
Past
March 26, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
SAN JOSE, CA
Past
July 8, 1997 - March 4, 2003
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
MILPITAS, CA
Past
July 21, 1995 - March 4, 2003
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
April 25, 1995 - July 25, 1995
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HS
HSBC SECURITIES (USA) INC.
CARROLL MCENTEE & MCGINLEY INCORPORATED | INVESTDIRECT | HSBC SECURITIES, INC. | HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
RIA
Registered Investment Advisory firm - SEC (8/30/2005 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/14/2023)
RR
Alaska(11/14/2023)
RR
Arizona(11/14/2023)
RR
Arkansas(11/14/2023)
RR
California(6/17/2019)
IAR
California(6/18/2019)
RR
Colorado(11/14/2023)
RR
Connecticut(11/14/2023)
RR
Delaware(11/14/2023)
RR
District of Columbia(11/14/2023)
RR
Florida(11/14/2023)
RR
Georgia(11/14/2023)
RR
Hawaii(11/14/2023)
RR
Idaho(11/14/2023)
RR
Illinois(11/14/2023)
RR
Indiana(11/14/2023)
RR
Iowa(11/14/2023)
RR
Kansas(11/14/2023)
RR
Kentucky(11/14/2023)
RR
Louisiana(11/14/2023)
RR
Maine(11/14/2023)
RR
Maryland(11/14/2023)
RR
Massachusetts(11/14/2023)
RR
Michigan(11/14/2023)
RR
Minnesota(11/14/2023)
RR
Mississippi(11/14/2023)
RR
Missouri(11/14/2023)
RR
Montana(11/14/2023)
RR
Nebraska(11/14/2023)
RR
Nevada(11/14/2023)
RR
New Hampshire(11/14/2023)
RR
New Jersey(11/14/2023)
RR
New Mexico(11/14/2023)
RR
New York(11/14/2023)
RR
North Carolina(11/14/2023)
RR
North Dakota(11/14/2023)
RR
Ohio(11/14/2023)
RR
Oklahoma(11/14/2023)
RR
Oregon(11/14/2023)
RR
Pennsylvania(11/14/2023)
RR
Puerto Rico(11/14/2023)
RR
Rhode Island(11/14/2023)
RR
South Carolina(11/14/2023)
RR
South Dakota(11/14/2023)
RR
Tennessee(11/14/2023)
RR
Texas(11/14/2023)
RR
Utah(11/14/2023)
RR
Vermont(11/14/2023)
RR
Virgin Islands(11/14/2023)
RR
Virginia(11/14/2023)
RR
Washington(11/14/2023)
RR
West Virginia(11/14/2023)
RR
Wisconsin(11/14/2023)
RR
Wyoming(11/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/20/1999
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
HS
HSBC SECURITIES (USA) INC.
CARROLL MCENTEE & MCGINLEY INCORPORATED | INVESTDIRECT | HSBC SECURITIES, INC. | HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
RIA
Registered Investment Advisory firm - SEC (8/30/2005 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
66 Hudson Boulevard, New York, NY 10001
Mailing Address
227 West Monroe Suite 1810, Chicago, IL 60606
Phone number
(224) 880-8555
Established
Delaware since 12/31/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
473
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.
