Gordon J. Sun

HSBC SECURITIES (USA)

Tysons, VA 22102

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CRD#: 4915237

Professional summary

Gordon Jyh-cherng Sun, who also goes by Gordon Jyh-cherng Sun, Jyh-cherng Sun, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Tysons, Virginia.

Gordon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Gordon has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gordon Jyh-Cherng Sun | Jyh-Cherng Sun

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) - RIA

Click below to view Gordon Jyh-cherng Sun's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Gordon Jyh-cherng Sun's CRS (Customer Relationship Summary).

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

December 22, 2025 - Present

HSBC SECURITIES (USA) INC.

Office #1: 1800 Tysons Bld. Suite 560, Tysons, VA 22102

RIA

CRD#: 19585

Tysons, VA

Current

December 22, 2025 - Present

HSBC SECURITIES (USA) INC.

Office #1: 1800 Tysons Bld. Suite 560, Tysons, VA 22102

RIA

CRD#: 19585

Tysons, VA

Past

November 12, 2015 - December 15, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NORTH BETHESDA, MD

Past

November 12, 2015 - December 15, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NORTH BETHESDA, MD

Past

June 17, 2013 - October 23, 2015

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

ARLINGTON, VA

Past

June 17, 2013 - October 23, 2015

HSBC SECURITIES (USA) INC.

CRD#: 19585

ARLINGTON, VA

Past

May 22, 2012 - June 3, 2013

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

ROCKVILLE, MD

Past

May 22, 2012 - June 3, 2013

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

ROCKVILLE, MD

Past

November 18, 2011 - May 4, 2012

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

WASHINGTON, DC

Past

November 18, 2011 - May 4, 2012

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

WASHINGTON, DC

Past

August 19, 2010 - October 24, 2011

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

ROCKVILLE, MD

Past

August 19, 2010 - October 24, 2011

HSBC SECURITIES (USA) INC.

CRD#: 19585

ROCKVILLE, MD

Past

March 14, 2008 - August 5, 2010

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

GREENBELT, MD

Past

March 14, 2008 - August 5, 2010

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

GREENBELT, MD

Past

October 8, 2007 - February 12, 2008

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

SPRINGFIELD, MA

Past

October 8, 2007 - February 12, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

May 19, 2006 - June 18, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

COLUMBIA, MD

Past

March 22, 2006 - June 18, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

COLUMBIA, MD

Past

January 7, 2006 - February 22, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

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)

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.

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

District of Columbia
(12/22/2025)

Maryland
(12/22/2025)

IAR

Maryland
(12/22/2025)

Virginia
(12/22/2025)

IAR

Virginia
(12/23/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/18/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 11/14/2018

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 11/1/2018

General Securities Sales Supervisor - General Module Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HSBC SECURITIES (USA) INC. (1/21/2026)

MANAGED PORTFOLIO ACCOUNT WRAP FEE PROGRAM BROCHURE (1/21/2026)

HSBC SECURITIES (USA) INC. PRIVATE EQUITY FUNDS AND DIRECT INVESTMENTS (1/16/2026)

HSBC PRISM ADVISORY (10/16/2025)

Direct owners and executive officers

Name	Position	CRD#
HSBC MARKETS (USA), INC.	PARENT
BUSCAGLIA, SARA FAYE	DIRECTOR	4884059
GOODWIN, CARY LONGSTRETH	PRESIDENT/CEO/DIRECTOR	3092972
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
WIRGIN, MICHAEL K	GENERAL COUNSEL	7050015

Regulatory assets under management

Total Number of Accounts	12,180
AUM (Assets Under Management)	$ 3,232,551,904

Disclosures

Regulatory Event	87
Arbitration	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2025	Cover Page	Report
12/11/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Gordon J. Sun

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gordon Jyh-cherng Sun's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Gordon Jyh-cherng Sun's CRS (Customer Relationship Summary).

Certified licenses

Experience

HSBC SECURITIES (USA) INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

HSBC SECURITIES (USA) INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/18/2006

SIE

Date: 10/1/2018

Series 7

Date: 7/18/2005

Series 9

Date: 11/14/2018

Series 10

Date: 11/1/2018

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq BX, Inc.

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

HSBC SECURITIES (USA) INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

HSBC SECURITIES (USA) INC.

TRUST BUT VERIFY

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