Alex M. Huang
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.
Alex Meng Huang, who also goes by Huang Alex, Alex M Huang, Alex Huang, Meng Meng Huang, was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 2005. Alex had worked at 8 firms and has passed the Series 66, SIE 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
March 24, 2014 - March 30, 2016
HSBC SECURITIES (USA) INC.
March 19, 2014 - March 30, 2016
HSBC SECURITIES (USA) INC.
November 4, 2013 - December 11, 2013
PATHWAY STRATEGIC ADVISORS
October 30, 2013 - December 16, 2013
ALPS DISTRIBUTORS, INC.
February 14, 2013 - August 22, 2013
CITIGROUP GLOBAL MARKETS INC.
February 13, 2013 - August 22, 2013
CITIGROUP GLOBAL MARKETS INC.
September 9, 2010 - February 15, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 2010 - February 15, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 2009 - May 26, 2010
CHASE INVESTMENT SERVICES CORP.
August 26, 2009 - May 26, 2010
CHASE INVESTMENT SERVICES CORP.
October 31, 2008 - March 26, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 30, 2008 - March 26, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 16, 2005 - October 29, 2008
WELLS FARGO INVESTMENTS, LLC
November 2, 2005 - October 29, 2008
WELLS FARGO INVESTMENTS, 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.
