Mark C. Chen
HSBC SECURITIES (USA)
Arcadia, CA 91007
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CRD#: 5317395
Professional summary
Mark C Chen, CFP®, who also goes by Chih Yu Chen, Mark Chih Yu Chen, Mark Chen, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Arcadia, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Mark has worked at 6 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chih Yu Chen | Mark Chih Yu Chen | Mark Chen
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.
CRS (Client Relationship Summary) - RIA
Click below to view Mark C Chen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark C Chen'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®
CFP®
Start date: 2018
Experience
Current
March 30, 2022 - Present
HSBC SECURITIES (USA) INC.
Office #1: 1107 S. Baldwin Avenue Suite C, Arcadia, CA 91007RIA
BD
CRD#: 19585
Arcadia, CA
Current
March 30, 2022 - Present
HSBC SECURITIES (USA) INC.
Office #1: 1107 S. Baldwin Avenue Suite C, Arcadia, CA 91007RIA
BD
CRD#: 19585
Arcadia, CA
Past
April 26, 2019 - March 11, 2022
TLG ADVISORS, INC.
RIA
CRD#: 111052
San Ramon, CA
Past
March 28, 2019 - March 11, 2022
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
June 22, 2017 - March 7, 2019
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
BELLFLOWER, CA
Past
June 21, 2017 - March 7, 2019
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
BELLFLOWER, CA
Past
May 6, 2015 - June 27, 2017
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
TEMPLE CITY, CA
Past
May 6, 2015 - June 27, 2017
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
TEMPLE CITY, CA
Past
November 14, 2014 - March 10, 2015
EDWARD JONES
RIA
CRD#: 250
PLACENTIA, CA
Past
July 18, 2014 - March 10, 2015
EDWARD JONES
BD
CRD#: 250
PLACENTIA, CA
Past
May 9, 2012 - December 18, 2012
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
SAN GABRIEL, CA
Past
June 13, 2007 - December 6, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
CITY OF INDUSTRY, 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
Arizona(6/16/2022)
IAR
Arizona(7/5/2022)
RR
California(3/30/2022)
IAR
California(3/30/2022)
RR
Connecticut(10/12/2022)
IAR
Connecticut(10/12/2022)
RR
Florida(5/16/2023)
RR
Georgia(7/7/2022)
IAR
Georgia(7/14/2022)
RR
Hawaii(5/23/2025)
RR
Illinois(7/24/2024)
RR
Iowa(9/2/2024)
RR
Massachusetts(9/26/2022)
RR
Missouri(9/2/2024)
RR
Nevada(5/4/2022)
RR
New Jersey(4/8/2024)
RR
New Mexico(4/3/2024)
RR
New York(5/4/2022)
RR
North Carolina(2/22/2024)
RR
Oregon(5/21/2024)
RR
Pennsylvania(5/18/2022)
RR
Texas(5/4/2022)
IAR
Texas(5/4/2022)
RR
Washington(11/17/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law 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.
Company Information
HSBC SECURITIES (USA) INC.
CRD#: 19585Arcadia, CA 91007TRUST BUT VERIFY
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