Daphne Tsai
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.
Daphne Tsai, CFP®, who also goes by Daphne Su-chueng Sudol, Daphne Su-chueng Tsai, Daphne Suchueng Tsai, Su-chueng Tsai, was a registered financial professional .
Daphne is a previously registered financial professional and started their career in finance in 1998. Daphne had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2021 - January 4, 2023
HSBC SECURITIES (USA) INC.
October 6, 2021 - January 4, 2023
HSBC SECURITIES (USA) INC.
February 4, 2008 - December 10, 2019
HSBC SECURITIES (USA) INC.
February 4, 2008 - December 10, 2019
HSBC SECURITIES (USA) INC.
April 21, 2006 - January 28, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
September 23, 2005 - February 17, 2006
CHASE INVESTMENT SERVICES CORP.
September 23, 2005 - February 17, 2006
CHASE INVESTMENT SERVICES CORP.
June 18, 2004 - September 14, 2005
TD AMERITRADE, INC.
May 6, 2004 - September 14, 2005
TD AMERITRADE, INC.
January 10, 1999 - January 17, 2002
CHARLES SCHWAB & CO., INC.
September 28, 1998 - December 9, 1998
MONEY CONCEPTS CAPITAL CORP
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 | |
| 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.
