NH
Neal H. Hsieh
QUESTRADE USA
Toronto, Ontario, M2M 4K2
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CRD#: 5998917
NH
Professional summary
Neal Hsiao-cheng Hsieh is a registered financial professional currently at QUESTRADE USA INC. .
Neal is registered as a RR (Registered Representative) and started their career in finance in 2012. Neal has worked at 1 firm and has passed the SIE, Series 99 and Series 28 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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) - BD
Click below to view Neal Hsiao-cheng Hsieh'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
June 28, 2012 - Present
QUESTRADE USA INC.
Office #1: 5700 Yonge Street Suite 1900, Toronto, Ontario, M2M 4K2Office #2: 5700 Yonge Street Suite 1900, Toronto, Ontario, M2M 4K2BD
CRD#: 147370
Toronto, Ontario,
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 8/25/2022
Introducing Broker/Dealer Financial Operations Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
QU
QUESTRADE USA INC.
QUESTRADE USA INC.
CRD#: 147370 / SEC#: , 8-67899
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
5700 Yonge Street Suite 1900, Toronto, Ontario, M2M 4K2
Mailing Address
5700 Yonge Street Suite 1900, Toronto, Ontario, M2M 4K2
Phone number
(416) 913-8313
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
Documents
Direct owners and executive officers
Red Flags
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