AM
Andrew Mo
HSBC SECURITIES (USA)
San Francisco, CA 94111
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CRD#: 6816667
AM
Professional summary
Andrew Mo, who also goes by Andrew Han-bon Mo, Andrew Han - Bon Mo, is a registered financial advisor currently at HSBC SECURITIES (USA) INC. located in San Francisco, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Andrew has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Han-Bon Mo | Andrew Han - Bon Mo
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. National Geographic 2. No 3. 215 E 67th St, New York, NY 10065 4. TV Entertainment 5. Small Acting role 6. Actor 7. None, just small acting role 8. 7/8/22 9. 2-3 hours in the month of July for 1 day 10. 0 11. Playing a insignificant acting role as a extra
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Mo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Mo'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 14, 2024 - Present
HSBC SECURITIES (USA) INC.
Office #1: One Embarcadero Center 34th Floor, San Francisco, CA 94111RIA
BD
CRD#: 19585
San Francisco, CA
Current
August 14, 2024 - Present
HSBC SECURITIES (USA) INC.
Office #1: One Embarcadero Center 34th Floor, San Francisco, CA 94111RIA
BD
CRD#: 19585
San Francisco, CA
Past
July 17, 2023 - May 2, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
PALO ALTO, CA
Past
July 17, 2023 - May 2, 2024
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
PALO ALTO, CA
Past
February 2, 2022 - July 3, 2023
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
San Francisco, CA
Past
February 1, 2022 - July 3, 2023
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
San Francisco, CA
Past
October 23, 2020 - January 4, 2022
ICONIQ CAPITAL, LLC
RIA
CRD#: 159198
SAN FRANCISCO, CA
Past
July 2, 2020 - September 14, 2020
SVB INVESTMENT SERVICES INC.
BD
CRD#: 168116
San Francisco, CA
Past
July 2, 2018 - September 14, 2020
SVB INVESTMENT SERVICES INC.
RIA
CRD#: 168116
San Francisco, CA
Past
October 9, 2017 - December 8, 2017
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
SAN FRANCISCO, 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
Arizona(3/7/2025)
RR
California(8/14/2024)
IAR
California(8/14/2024)
RR
Colorado(3/7/2025)
RR
Connecticut(3/14/2025)
RR
Delaware(3/7/2025)
RR
District of Columbia(3/6/2025)
IAR
District of Columbia(8/18/2025)
RR
Florida(3/6/2025)
RR
Hawaii(3/7/2025)
RR
Illinois(3/7/2025)
RR
Kansas(6/30/2025)
RR
Maryland(3/19/2025)
IAR
Maryland(7/30/2025)
RR
Massachusetts(3/7/2025)
RR
Montana(3/7/2025)
RR
Nevada(3/7/2025)
RR
New Jersey(3/14/2025)
RR
New York(3/6/2025)
RR
North Carolina(3/14/2025)
RR
Ohio(5/14/2025)
RR
Oregon(3/7/2025)
RR
Pennsylvania(3/14/2025)
RR
Texas(3/7/2025)
RR
Utah(3/7/2025)
IAR
Washington(3/10/2025)
RR
Washington(6/30/2025)
RR
Wyoming(3/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral 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 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.
