Yifei Hong

HSBC SECURITIES (USA)

San Francisco, CA

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CRD#: 5988097

Professional summary

Yifei Hong, who also goes by Monica Hong, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in San Francisco, California.

Yifei is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Yifei has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 56 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Monica Hong

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.

Dual hatted as a Bank Officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc., engaging in the sale of bank related products and services. This position will be in conjunction with my current role as a registered representative with HSBC Securities (USA) Inc. Entity Name: kindle Investment related: No Address: kindle.com Nature of the other business: e-book Position/Title/Relationship: writer Start Date: 03/11/2025 Approximate # of hours a week: 0 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Book writer

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yifei Hong's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Yifei Hong's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 22, 2025 - Present

HSBC SECURITIES (USA) INC.

Office #2: One Embarcadero Center Suite 650, San Francisco, CA 94111

RIA

CRD#: 19585

San Francisco, CA

Current

October 21, 2025 - Present

HSBC SECURITIES (USA) INC.

Office #1: 239 Van Rensselaer Street Floor 2, Buffalo, NY 14210

RIA

CRD#: 19585

Buffalo, NY

Past

August 21, 2020 - October 2, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

PALO ALTO, CA

Past

July 22, 2020 - October 2, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

PALO ALTO, CA

Past

February 27, 2012 - December 20, 2012

LEGEND TRADING, LLC

CRD#: 150567

NEW YORK, NY

Past

October 31, 2011 - November 8, 2011

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

NEW YORK, NY

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".

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)

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.

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

Alabama
(10/21/2025)

IAR

Alabama
(10/31/2025)

Alaska
(10/21/2025)

IAR

Alaska
(11/5/2025)

Arizona
(10/21/2025)

Arkansas
(10/21/2025)

California
(10/21/2025)

IAR

California
(10/22/2025)

Colorado
(10/21/2025)

Connecticut
(10/21/2025)

Delaware
(10/21/2025)

IAR

Delaware
(10/31/2025)

District of Columbia
(10/21/2025)

Florida
(10/21/2025)

Georgia
(10/21/2025)

IAR

Georgia
(11/4/2025)

Hawaii
(10/21/2025)

Idaho
(10/21/2025)

Illinois
(10/21/2025)

Indiana
(10/21/2025)

Iowa
(10/21/2025)

IAR

Iowa
(11/3/2025)

Kansas
(10/21/2025)

IAR

Kansas
(10/31/2025)

Kentucky
(10/21/2025)

Louisiana
(10/21/2025)

IAR

Louisiana
(10/31/2025)

Maine
(10/21/2025)

IAR

Maine
(10/31/2025)

Maryland
(10/21/2025)

IAR

Maryland
(10/31/2025)

Massachusetts
(10/21/2025)

Michigan
(10/21/2025)

Minnesota
(10/21/2025)

IAR

Minnesota
(10/31/2025)

Mississippi
(10/21/2025)

Missouri
(10/21/2025)

Montana
(10/21/2025)

IAR

Montana
(10/31/2025)

Nebraska
(10/21/2025)

IAR

Nebraska
(10/31/2025)

Nevada
(10/21/2025)

New Hampshire
(10/21/2025)

New Jersey
(10/21/2025)

New Mexico
(10/21/2025)

IAR

New Mexico
(10/31/2025)

New York
(10/21/2025)

North Carolina
(10/21/2025)

IAR

North Carolina
(10/31/2025)

North Dakota
(10/21/2025)

IAR

North Dakota
(11/6/2025)

Ohio
(10/22/2025)

Oklahoma
(10/21/2025)

Oregon
(10/21/2025)

Pennsylvania
(10/21/2025)

Puerto Rico
(10/21/2025)

IAR

Puerto Rico
(11/4/2025)

Rhode Island
(10/21/2025)

South Carolina
(10/21/2025)

South Dakota
(10/21/2025)

Tennessee
(10/21/2025)

Texas
(10/21/2025)

IAR

Texas
(10/31/2025)

Utah
(10/21/2025)

IAR

Utah
(10/31/2025)

Vermont
(10/21/2025)

Virgin Islands
(10/21/2025)

IAR

Virgin Islands
(11/3/2025)

Virginia
(10/21/2025)

Washington
(10/21/2025)

West Virginia
(10/21/2025)

Wisconsin
(10/21/2025)

Wyoming
(10/21/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/20/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/22/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/23/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 56

Date: 10/28/2011

Proprietary Trader Qualification Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HSBC PRISM ADVISORY (10/16/2025)

HSBC SECURITIES (USA) INC. (9/15/2025)

MANAGED PORTFOLIO ACCOUNT WRAP FEE PROGRAM BROCHURE (6/16/2025)

HSBC SECURITIES (USA) INC. PRIVATE EQUITY FUNDS AND DIRECT INVESTMENTS (3/28/2025)

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	Cover Page	Report
12/11/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Yifei Hong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yifei Hong's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Yifei Hong's CRS (Customer Relationship Summary).

Certified licenses

Experience

HSBC SECURITIES (USA) INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

LEGEND TRADING, LLC

WTS PROPRIETARY TRADING GROUP LLC

Primary Firm SEC Registration

HSBC SECURITIES (USA) INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/20/2020

Series 7TO

Date: 7/22/2020

SIE

Date: 6/23/2020

Series 56

Date: 10/28/2011

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq BX, Inc.

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

HSBC SECURITIES (USA) INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

HSBC SECURITIES (USA) INC.

TRUST BUT VERIFY

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