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SG

Sherman Q. Guo

HAITONG INTERNATIONAL SECURITIES (USA)
NEW YORK, NY 10036
Some features on this profile are disabled
CRD#: 5366311
SG

Professional summary

Sherman Qiying Guo, CFA, who also goes by Sherman Quiying Guo, Sherman Qiying Qiying Guo, is a registered financial professional currently at HAITONG INTERNATIONAL SECURITIES (USA) INC. located in New York, New York.

Sherman is registered as a RR (Registered Representative) and started their career in finance in 2007. Sherman has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sherman Quiying Guo | Sherman Qiying Qiying Guo

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) - BD

Click below to view Sherman Qiying Guo'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®
CFA

Chartered Financial Analyst

Experience

Current

July 25, 2025 - Present

HAITONG INTERNATIONAL SECURITIES (USA) INC.

Office #1: 130 West 42nd Street Fl 18, New York, NY 10036Office #2: 130 West 42nd Street Fl 18, New York, NY 10036
BD
CRD#: 132201
NEW YORK, NY
Past

January 24, 2020 - September 16, 2022

HAITONG INTERNATIONAL SECURITIES (USA) INC.

BD
CRD#: 132201
NEW YORK, NY
Past

April 21, 2015 - September 22, 2016

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

December 1, 2014 - February 18, 2015

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

BD
CRD#: 130847
NEW YORK, NY
Past

May 26, 2010 - December 4, 2014

CICC US SECURITIES, INC.

BD
CRD#: 143221
NEW YORK, NY
Past

September 11, 2007 - November 6, 2009

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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 York
(9/28/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/25/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 2/15/2022
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 9/22/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/22/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 4/22/2011
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/10/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

HI
HAITONG INTERNATIONAL SECURITIES (USA) INC.
HAITONG INTERNATIONAL | JAPANINVEST INC. | HAITONG INTERNATIONAL SECURITIES (USA) INC.

CRD#: 132201 / SEC#: , 8-66566

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
130 West 42nd Street Fl 18, New York, NY 10036
Mailing Address
130 West 42nd Street Fl 18, New York, NY 10036
Phone number
(212) 351-6000
Established
New York since 06/09/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HAITONG INTERNATIONAL SECURITIES GROUP LIMITEDPARENT
BASILOTTA, SILVIA GRACIELAFINANCIAL OPERATIONS PRINCIPAL1201948
CHOU, CHUK NAMBOARD OF DIRECTORS MEMBER7755974
FORBES, SEAN MATTHEWPRESIDENT, CHIEF COMPLIANCE OFFICER, COO, CFO, EXECUTIVE PRINCIPAL, BOARD OF DIRECTORS MEMBER1554301
SHI, PINGBOARD OF DIRECTORS MEMBER7030173
WU, YANDEPUTY CEO, BOARD OF DIRECTORS MEMBER3120765
YE, WEILUCEO, BOARD OF DIRECTORS MEMBER7205185

Disclosures

Regulatory Event1

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

HAITONG INTERNATIONAL SECURITIES (USA) INC.

CRD#: 132201New York, NY 10036

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