EL
Eric Y. Lau
HSBC SECURITIES (USA)
Fremont, CA 94538-2117
Some features on this profile are disabled
CRD#: 5420718
EL
Professional summary
Eric Ying Kit Lau, who also goes by Eric Ying Kit Lau, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Fremont, California.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Eric has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Ying Kit Lau
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 - Chinese Realtor Association of America 2. Whether the business is investment-related: NO 3. The address of the other business - 945 Taraval Street, #328 San Francisco, CA 94116 4. The nature of the other business: Realtor Association 5. Your position: Board Member 6. Title/Relationship with the other business: Board of Director 7. The start date of your relationship: 8/19/2025 8. The approximate number of hours/month you devote to the other business: 30 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: Participate on board meetings and events put together by CREAA and to provide advocacy of the organization to the community which helps promote home ownership in the Asian Community. 1. The name of the other business - Asian Health Services 2. Whether the business is investment-related: NO 3. The address of the other business - 818 Webster St, Oakland, CA 94607, 4. The nature of the other business: Healthcare provider 5. Your position: Co-Chair of Business Leadership Council 6. Title/Relationship with the other business: Co-Chair of Business Leadership council 7. The start date of your relationship: 8/19/2025 8. The approximate number of hours/month you devote to the other business: 30 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: Provide advocacy of Asian Health Services and planning of events that promotes the well being of their engagement to the Asian Community. 1. The name of the other business - SF BARE Lions Club 2. Whether the business is investment-related: NO 3. The address of the other business - 1825 S Grant St, San Mateo, CA 94402 4. The nature of the other business: Volunteer organization 5. Your position: Board Member 6. Title/Relationship with the other business: Board member 7. The start date of your relationship: 8/19/2025 8. The approximate number of hours/month you devote to the other business: 30 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: Charter board member of Lion's club. Our focus is to organize community base volunteerism. Help plan events and provide outreach to the community.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Ying Kit Lau's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Ying Kit Lau'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
August 29, 2025 - Present
HSBC SECURITIES (USA) INC.
Office #1: 39410 Fremont Boulevard, Fremont, CA 94538-2117RIA
BD
CRD#: 19585
Fremont, CA
Current
August 28, 2025 - Present
HSBC SECURITIES (USA) INC.
Office #1: 39410 Fremont Boulevard, Fremont, CA 94538-2117RIA
BD
CRD#: 19585
Fremont, CA
Past
July 19, 2023 - August 20, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
MENLO PARK, CA
Past
July 19, 2023 - August 20, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
MENLO PARK, CA
Past
November 5, 2019 - July 19, 2023
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
BURLINGAME, CA
Past
November 1, 2019 - July 19, 2023
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
BURLINGAME, CA
Past
June 22, 2017 - November 7, 2019
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Walnut Creek, CA
Past
May 12, 2017 - November 7, 2019
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Walnut Creek, CA
Past
December 2, 2016 - April 13, 2017
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
REDWOOD SHORES, CA
Past
October 12, 2016 - April 13, 2017
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
REDWOOD SHORES, CA
Past
October 2, 2015 - September 20, 2016
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAN MATEO, CA
Past
January 18, 2013 - September 20, 2016
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SAN MATEO, CA
Past
January 24, 2012 - October 18, 2012
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SAN FRANCISCO, CA
Past
March 28, 2008 - July 9, 2008
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SAN JOSE, CA
Past
October 24, 2007 - July 9, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SAN JOSE, 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
California(8/28/2025)
IAR
California(8/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
