Alice Hsu
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.
Alice Hsu was a registered financial professional .
Alice is a previously registered financial professional and started their career in finance in 2002. Alice had worked at 8 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2011 - May 31, 2013
HSBC SECURITIES (USA) INC.
September 15, 2011 - May 31, 2013
HSBC SECURITIES (USA) INC.
October 23, 2009 - August 29, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - August 29, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 2, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 29, 2007 - December 10, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - December 10, 2007
CITIGROUP GLOBAL MARKETS INC.
March 29, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 29, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 24, 2006 - November 28, 2006
MERRILL LYNCH TRUST COMPANY
April 24, 2006 - January 10, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 2006 - January 10, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 27, 2002 - May 1, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
June 7, 2002 - May 1, 2006
IDS LIFE INSURANCE COMPANY
June 7, 2002 - May 1, 2006
AMERIPRISE FINANCIAL SERVICES, 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.
