Tiffany C. Ho
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.
Tiffany Cheuk Ho, who also goes by Cheung Tsing Tiffany Cheuk, Cheungtsing Tiffany Cheuk, Cheungtsing Cheuk, was a registered financial professional .
Tiffany is a previously registered financial professional and started their career in finance in 1999. Tiffany had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2013 - July 10, 2020
HSBC SECURITIES (USA) INC.
May 6, 2013 - July 10, 2020
HSBC SECURITIES (USA) INC.
April 4, 2013 - May 1, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 3, 2013 - May 1, 2013
WELLS FARGO CLEARING SERVICES, LLC
December 17, 2008 - April 8, 2013
HSBC SECURITIES (USA) INC.
December 17, 2008 - April 8, 2013
HSBC SECURITIES (USA) INC.
May 11, 2005 - November 12, 2008
U.S. BANCORP ADVISORS, LLC
May 11, 2005 - November 12, 2008
U.S. BANCORP ADVISORS, LLC
November 4, 2004 - May 4, 2005
CITICORP INVESTMENT SERVICES
February 5, 2003 - May 4, 2005
CITICORP INVESTMENT SERVICES
April 9, 2001 - February 5, 2003
CAL FED INVESTMENTS
March 31, 1999 - April 4, 2001
NYLIFE SECURITIES LLC
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.
