KL
Kun Li
HSBC SECURITIES (USA)
Flushing, NY 11354
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CRD#: 4998240
KL
Professional summary
Kun Li is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Flushing, New York.
Kun is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Kun has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. The name of the other business (Oceanview liquor inc) 2. Whether the business is investment-related (No) 3. The address of the other business (164-09 89th ave, jamaica, ny 11432) 4. The nature of the other business (liquor store) 5. Your position (president) 6. Title (president) 7. Relationship with the other business (owner) 8. The start date of your relationship (May 2014) 9. The approximate number of hours/month you devote to the other business (0) 10. The number of hours you devote to the other business during securities trading hours (0) 11. Briefly describe your duties relating to the other business (business is under my name, but will not devote any hours to manage the business) 1. The name of the other business (Sweet Yifang Inc) 2. Whether the business is investment-related (No) 3. The address of the other business (1500 old country rd, room #102A, westbury, NY 11590) 4. The nature of the other business (Fruit tea shop) 5. Your position (president) 6. Title (president) 7. Relationship with the other business (owner) 8. The start date of your relationship (July 14 2023) 9. The approximate number of hours/month you devote to the other business (0) 10. The number of hours you devote to the other business during securities trading hours (0) 11. Briefly describe your duties relating to the other business (business is under my name, but will not devote any hours to manage business) 1. The name of the other business (Sweet BonBon Inc) 2. Whether the business is investment-related (No) 3. The address of the other business (1500 old country rd, room #102A, westbury, NY 11590) 4. The nature of the other business (Bakery shop) 5. Your position (president) 6. Title (president) 7. Relationship with the other business (owner) 8. The start date of your relationship (July 15 2023) 9. The approximate number of hours/month you devote to the other business (0) 10. The number of hours you devote to the other business during securities trading hours (0) 11. Briefly describe your duties relating to the other business (business is under my name, but will not devote any hours to manage business) 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 Kun Li's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kun Li'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
September 12, 2014 - Present
HSBC SECURITIES (USA) INC.
Office #1: 39-10 Main St., Flushing, NY 11354RIA
BD
CRD#: 19585
Flushing, NY
Current
September 10, 2014 - Present
HSBC SECURITIES (USA) INC.
Office #1: 39-10 Main St., Flushing, NY 11354RIA
BD
CRD#: 19585
Flushing, NY
Past
June 12, 2013 - December 13, 2013
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
SAN FRANCISCO, CA
Past
June 11, 2013 - December 13, 2013
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
SAN FRANCISCO, CA
Past
August 18, 2011 - June 7, 2013
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
SAN FRANCISCO, CA
Past
August 18, 2011 - June 7, 2013
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
SAN FRANCISCO, CA
Past
July 7, 2008 - July 18, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN FRANCISCO, CA
Past
July 7, 2008 - July 18, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN FRANCISCO, CA
Past
September 26, 2007 - July 10, 2008
SANTANDER SECURITIES LLC
BD
CRD#: 41791
BOSTON, MA
Past
December 19, 2006 - July 5, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
SAN FRANCISCO, CA
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
Alabama(10/30/2018)
IAR
Alabama(10/30/2018)
RR
Arizona(7/12/2022)
RR
California(1/9/2018)
RR
Connecticut(9/10/2014)
RR
Florida(11/16/2018)
RR
Georgia(9/20/2018)
IAR
Georgia(12/2/2024)
RR
Hawaii(1/30/2025)
RR
Maryland(3/20/2020)
IAR
Maryland(3/20/2020)
RR
Massachusetts(1/9/2018)
RR
Michigan(1/9/2018)
RR
New Jersey(9/10/2014)
IAR
New Jersey(9/12/2014)
RR
New York(9/10/2014)
IAR
New York(7/9/2021)
RR
Ohio(11/19/2018)
RR
Oregon(4/26/2023)
RR
Pennsylvania(11/16/2018)
RR
Rhode Island(7/25/2022)
RR
South Carolina(5/29/2019)
RR
Tennessee(6/2/2020)
RR
Texas(10/30/2018)
IAR
Texas(11/1/2018)
RR
Virginia(12/12/2018)
RR
Washington(2/7/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
