HL
Heidi W. Lau
HSBC SECURITIES (USA)
Dublin, CA
Some features on this profile are disabled
CRD#: 3200670
HL
Professional summary
Heidi Wai Suen Lau, who also goes by Heidi W Lau, Heidi Lau, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Dublin, California.
Heidi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Heidi has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Heidi W Lau | Heidi Lau
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.
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 Heidi Wai Suen Lau's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Heidi Wai Suen Lau'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
September 2, 2016 - Present
HSBC SECURITIES (USA) INC.
RIA
BD
CRD#: 19585
Dublin, CA
Current
September 2, 2016 - Present
HSBC SECURITIES (USA) INC.
Office #1: 39410 Fremont Boulevard, Fremont, CA 94538-2117RIA
BD
CRD#: 19585
Fremont, CA
Past
July 16, 2015 - August 31, 2016
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
FREMONT, CA
Past
July 16, 2015 - August 31, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
FREMONT, CA
Past
August 4, 2014 - June 17, 2015
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LIVERMORE, CA
Past
August 4, 2014 - June 17, 2015
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LIVERMORE, CA
Past
February 20, 2013 - August 28, 2013
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
PLEASANTON, CA
Past
January 30, 2013 - August 28, 2013
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PLEASANTON, CA
Past
November 13, 2006 - November 6, 2012
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
FREMONT, CA
Past
December 11, 2001 - October 5, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
FREMONT, CA
Past
August 24, 2001 - December 3, 2001
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
April 15, 1999 - July 5, 2001
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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
California(9/2/2016)
IAR
California(9/2/2016)
RR
Colorado(2/13/2019)
RR
Connecticut(8/28/2019)
IAR
Connecticut(8/28/2019)
RR
Florida(10/12/2017)
IAR
Florida(10/13/2017)
RR
Hawaii(10/22/2021)
IAR
Hawaii(10/25/2021)
RR
Illinois(10/4/2019)
IAR
Illinois(10/16/2019)
RR
Maryland(5/20/2020)
IAR
Maryland(5/21/2020)
RR
Michigan(10/28/2019)
IAR
Michigan(10/30/2019)
RR
Minnesota(10/1/2019)
IAR
Minnesota(10/2/2019)
RR
Nevada(3/15/2017)
IAR
Nevada(3/17/2017)
RR
New York(10/12/2017)
RR
North Carolina(10/29/2024)
IAR
North Carolina(10/29/2024)
RR
South Dakota(11/10/2020)
IAR
South Dakota(11/12/2020)
RR
Texas(8/28/2017)
IAR
Texas(8/20/2024)
RR
Washington(6/18/2019)
IAR
Washington(6/18/2019)
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
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.
