AL
Anthea Lai
HSBC SECURITIES (USA)
Cupertino, CA 95014
Some features on this profile are disabled
CRD#: 4262852
AL
Professional summary
Anthea Lai, who also goes by Anthea Shan Lai, Kit Shan Lai, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Cupertino, California.
Anthea is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Anthea has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthea Shan Lai | Kit Shan Lai
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 Anthea Lai's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anthea Lai'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
October 2, 2019 - Present
HSBC SECURITIES (USA) INC.
Office #1: 10745 S. De Anza Blvd, Cupertino, CA 95014RIA
BD
CRD#: 19585
Cupertino, CA
Current
October 2, 2019 - Present
HSBC SECURITIES (USA) INC.
Office #1: 10745 S. De Anza Blvd, Cupertino, CA 95014RIA
BD
CRD#: 19585
Cupertino, CA
Past
February 12, 2018 - August 30, 2019
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NEWARK, CA
Past
February 12, 2018 - August 30, 2019
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
SAN JOSE, CA
Past
June 23, 2017 - February 13, 2018
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
FREMONT, CA
Past
July 6, 2015 - February 13, 2018
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
FREMONT, CA
Past
May 29, 2007 - December 31, 2014
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
FREMONT, CA
Past
September 3, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
NEWARK, CA
Past
September 28, 2000 - September 8, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
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(10/2/2019)
IAR
California(10/2/2019)
RR
Colorado(4/29/2020)
IAR
Colorado(4/30/2020)
RR
Connecticut(4/30/2021)
RR
Maryland(10/26/2022)
RR
Massachusetts(4/17/2020)
RR
New Jersey(12/11/2023)
RR
New York(1/23/2024)
RR
North Carolina(9/13/2022)
RR
Oregon(4/13/2023)
IAR
Oregon(4/14/2023)
RR
Texas(3/16/2021)
IAR
Texas(3/16/2021)
RR
Virginia(4/19/2023)
IAR
Virginia(4/20/2023)
RR
Washington(8/19/2021)
IAR
Washington(8/23/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
