HC
Hui Wen Chou
HSBC SECURITIES (USA)
New York, NY 10001
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CRD#: 5020711
HC
Professional summary
Hui Wen Chou, who also goes by Huiwen Chou, Jenny Chou, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in New York, New York.
Hui Wen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Hui Wen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Huiwen Chou | Jenny Chou
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 - Residential rental Property 2. Whether the business is investment-related: No 3. The address of the other business - 18809 Lindenhouse Road, Gaithersburg MD 20879 4. The nature of the other business: Residential rental 5. Your position: Owner 6. Title/Relationship with the other business: Owner 7. The start date of your relationship: 7/21/2025 8. The approximate number of hours/month you devote to the other business: 0-5 9. The number of hours you devote to the other business during securities trading hours: 0 10. Briefly describe your duties relating to the other business: Owner 1. The name of the other business - Residential rental Property 2. Whether the business is investment-related: No 3. The address of the other business - 109 Crescent Lane, Schaumburg IL 60193 4. The nature of the other business: Residential rental 5. Your position: Owner 6. Title/Relationship with the other business: Owner 7. The start date of your relationship: 7/21/2025 8. The approximate number of hours/month you devote to the other business: 0-5 9. The number of hours you devote to the other business during securities trading hours:0 10. Briefly describe your duties relating to the other business: Owner
CRS (Client Relationship Summary) - RIA
Click below to view Hui Wen Chou's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hui Wen Chou'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 29, 2025 - Present
HSBC SECURITIES (USA) INC.
Office #1: 66 Hudson Boulevard Floor 3, New York, NY 10001RIA
BD
CRD#: 19585
New York, NY
Current
September 8, 2025 - Present
HSBC SECURITIES (USA) INC.
Office #1: 66 Hudson Boulevard Floor 3, New York, NY 10001RIA
BD
CRD#: 19585
New York, NY
Past
July 11, 2023 - July 9, 2025
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
New York, NY
Past
October 18, 2017 - February 15, 2023
AMG DISTRIBUTORS, INC.
BD
CRD#: 27314
STAMFORD, CT
Past
December 15, 2011 - August 17, 2017
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 23, 2009 - April 7, 2010
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
September 22, 2005 - October 3, 2007
LEHMAN BROTHERS INC.
BD
CRD#: 7506
TAIPEI,
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
New Jersey(9/8/2025)
IAR
New Jersey(9/30/2025)
RR
New York(9/9/2025)
IAR
New York(9/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
