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SM

Sandra Y. Mao

HUATAI SECURITIES (USA)
New York, NY 10017
Some features on this profile are disabled
CRD#: 4318909
SM

Professional summary

Sandra Yuan-san Mao, who also goes by Yuan San Mao, Yuan-san Mao, is a registered financial professional currently at HUATAI SECURITIES (USA), INC. located in New York, New York.

Sandra is registered as a RR (Registered Representative) and started their career in finance in 2001. Sandra has worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Yuan San Mao | Yuan-San Mao

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 Sandra Yuan-san Mao'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 20, 2020 - Present

HUATAI SECURITIES (USA), INC.

Office #1: 280 Park Ave 21 Floor East, New York, NY 10017
BD
CRD#: 298809
New York, NY
Past

June 12, 2019 - February 3, 2020

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY
Past

July 16, 2012 - May 2, 2018

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

February 11, 2011 - June 15, 2012

PIPER SANDLER & CO.

BD
CRD#: 665
NEW YORK, NY
Past

February 20, 2009 - January 19, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

February 10, 2004 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

February 2, 2001 - January 27, 2004

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
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
New Jersey
(9/12/2023)
RR
New York
(2/20/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 1/26/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 5/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/1/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/19/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

HS
HUATAI SECURITIES (USA), INC.
HUATAI SECURITIES (USA), INC.

CRD#: 298809 / SEC#: , 8-70231

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

Main Address
280 Park Ave 21 Floor East, New York, NY 10017
Mailing Address
280 Park Ave 21 Floor East, New York, NY 10017
Phone number
(212) 763-8180
Established
Delaware since 08/24/2018
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HUATAI SECURITIES USA HOLDINGS, INC.SOLE SHAREHOLDER
LIN, BRYAN DAWEICHIEF EXECUTIVE OFFICER/DIRECTOR2923067
MAO, SANDRA YUAN-SANCHIEF COMPLIANCE OFFICER4318909
RUTITSKIY, DMITRIYFINOP6117665
SUN, YINGBOARD MEMBER7026572
WANG, CHONGBOARD MEMBER7030757
WANG, LEIBOARD MEMBER7078240

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

HUATAI SECURITIES (USA), INC.

CRD#: 298809New York, NY 10017

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