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XH

Xiang Hou

HAITONG INTERNATIONAL SECURITIES (USA)
NEW YORK, NY 10036
Some features on this profile are disabled
CRD#: 4223998
XH

Professional summary

Xiang Hou, who also goes by Heather Hou, is a registered financial professional currently at HAITONG INTERNATIONAL SECURITIES (USA) INC. located in New York, New York.

Xiang is registered as a RR (Registered Representative) and started their career in finance in 2007. Xiang has worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Heather Hou

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Xiang Hou'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®
None

Experience

Current

February 13, 2017 - Present

HAITONG INTERNATIONAL SECURITIES (USA) INC.

Office #1: 130 West 42nd Street Fl 18, New York, NY 10036Office #2: 130 West 42nd Street Fl 18, New York, NY 10036
BD
CRD#: 132201
NEW YORK, NY
Past

June 4, 2018 - December 20, 2022

HAITONG SECURITIES USA LLC

BD
CRD#: 281918
New York, NY
Past

September 10, 2015 - October 19, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

July 23, 2012 - February 18, 2015

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

BD
CRD#: 130847
NEW YORK, NY
Past

June 8, 2011 - May 9, 2012

SAMSUNG SECURITIES (AMERICA), INC.

BD
CRD#: 43432
NEW YORK, NY
Past

July 2, 2008 - April 14, 2011

MORGAN JOSEPH TRIARTISAN LLC

BD
CRD#: 10948
NEW YORK, NY
Past

September 26, 2007 - March 19, 2008

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(2/16/2017)
RR
Colorado
(3/7/2017)
RR
Connecticut
(10/29/2020)
RR
Georgia
(10/29/2020)
RR
Illinois
(2/16/2017)
RR
Maryland
(11/18/2022)
RR
Massachusetts
(3/7/2017)
RR
New Jersey
(2/16/2017)
RR
New York
(2/13/2017)
RR
Washington
(10/29/2020)
RR
Wisconsin
(10/29/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 10/26/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 9/19/2008
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 9/25/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/21/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HI
HAITONG INTERNATIONAL SECURITIES (USA) INC.
HAITONG INTERNATIONAL | JAPANINVEST INC. | HAITONG INTERNATIONAL SECURITIES (USA) INC.

CRD#: 132201 / SEC#: , 8-66566

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
130 West 42nd Street Fl 18, New York, NY 10036
Mailing Address
130 West 42nd Street Fl 18, New York, NY 10036
Phone number
(212) 351-6000
Established
New York since 06/09/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HAITONG INTERNATIONAL SECURITIES GROUP LIMITEDPARENT
BASILOTTA, SILVIA GRACIELAFINANCIAL OPERATIONS PRINCIPAL1201948
CHOU, CHUK NAMBOARD OF DIRECTORS MEMBER7755974
FORBES, SEAN MATTHEWPRESIDENT, CHIEF COMPLIANCE OFFICER, COO, CFO, EXECUTIVE PRINCIPAL, BOARD OF DIRECTORS MEMBER1554301
SHI, PINGBOARD OF DIRECTORS MEMBER7030173
WU, YANDEPUTY CEO, BOARD OF DIRECTORS MEMBER3120765
YE, WEILUCEO, BOARD OF DIRECTORS MEMBER7205185

Disclosures

Regulatory Event1

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.

Company Information

HAITONG INTERNATIONAL SECURITIES (USA) INC.

CRD#: 132201New York, NY 10036

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