EP
Erica L. Pu
HSBC SECURITIES (USA)
BEVERLY HILLS, CA 90210
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CRD#: 5510806
EP
Erica Lihong PuHSBC SECURITIES (USA)
Professional summary
Erica Lihong Pu, who also goes by Erica Lihong Pu, Erica Pu, Lihong Pu, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in Beverly Hills, California.
Erica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Erica has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Erica Lihong Pu | Erica Pu | Lihong Pu
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 Erica Lihong Pu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Erica Lihong Pu'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
May 14, 2026 - Present
HSBC SECURITIES (USA) INC.
Office #1: 445 N. Bedford Dr., Beverly Hills, CA 90210RIA
BD
CRD#: 19585
BEVERLY HILLS, CA
Current
May 13, 2026 - Present
HSBC SECURITIES (USA) INC.
Office #1: 445 N. Bedford Dr., Beverly Hills, CA 90210RIA
BD
CRD#: 19585
BEVERLY HILLS, CA
Past
May 30, 2024 - May 8, 2026
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NEWPORT BEACH, CA
Past
May 2, 2024 - May 8, 2026
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEWPORT BEACH, CA
Past
February 23, 2024 - April 30, 2024
SOVRAN ADVISORS, LLC
RIA
CRD#: 329415
Pasadena, CA
Past
February 22, 2024 - April 17, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
PASADENA, CA
Past
March 25, 2017 - March 6, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
PASADENA, CA
Past
March 25, 2017 - March 6, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
PASADENA, CA
Past
April 28, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
PASADENA, CA
Past
April 28, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
PASADENA, CA
Past
May 29, 2013 - April 15, 2016
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
TEMPLE CITY, CA
Past
August 3, 2009 - April 15, 2016
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
TEMPLE CITY, CA
Past
October 22, 2008 - July 10, 2009
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
WEST COVINA, 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(5/13/2026)
IAR
California(5/14/2026)
RR
New York(6/25/2026)
Exams
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 ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
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 | |
| BUSCAGLIA, SARA FAYE | DIRECTOR | 4884059 |
| GOODWIN, CARY LONGSTRETH | PRESIDENT/CEO/DIRECTOR | 3092972 |
| 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 |
| WIRGIN, MICHAEL K | GENERAL COUNSEL | 7050015 |
Regulatory assets under management
| Total Number of Accounts | 12,180 |
| AUM (Assets Under Management) | $ 3,232,551,904 |
Disclosures
| Regulatory Event | 87 |
| 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.
