FIND A HAITONG INTERNATIONAL SECURITIES (USA) INC. FINANCIAL ADVISOR NEAR ME
Find, Compare and Monitor Financial Advisors at HAITONG INTERNATIONAL SECURITIES (USA) INC.
Looking for a Financial Advisor at HAITONG INTERNATIONAL SECURITIES (USA) INC.?
We have compiled every financial advisor who works at HAITONG INTERNATIONAL SECURITIES (USA) INC. in our database for you to search through. On this page, you will be able to find the closest financial advisors to you geographically, advisors with specific certifications that you are looking for, as well as many other filtering capabilities to help you search.
If you need additional assistance finding the specific financial advisor you are looking for, please use our search tool below and type in either their name or CRD number.
FIRM PROFILE
Overview
HAITONG INTERNATIONAL SECURITIES (USA) INC. is located at 130 West 42nd Street Fl 18, New York, NY 10036 and was first established at New York, New York in 06/09/2004. After operating for 21 years, HAITONG INTERNATIONAL SECURITIES (USA) INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of HAITONG INTERNATIONAL SECURITIES (USA) INC.’s clients are individuals and 0% of their clients are high net worth individuals. HAITONG INTERNATIONAL SECURITIES (USA) INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at HAITONG INTERNATIONAL SECURITIES (USA) INC. are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access HAITONG INTERNATIONAL SECURITIES (USA) INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at HAITONG INTERNATIONAL SECURITIES (USA) INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for HAITONG INTERNATIONAL SECURITIES (USA) INC. Comes From
Understanding the Statistics for HAITONG INTERNATIONAL SECURITIES (USA) INC. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
No Information
No Information
FIRM INFORMATION
130 West 42nd Street Fl 18, New York, NY 10036
130 West 42nd Street Fl 18, New York, NY 10036
Small
(212) 351-6000
New York since 06/09/2004
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| HAITONG INTERNATIONAL SECURITIES GROUP LIMITED | PARENT | ||
| BASILOTTA, SILVIA GRACIELA | FINANCIAL OPERATIONS PRINCIPAL | 1201948 | |
| CHOU, CHUK NAM | BOARD OF DIRECTORS MEMBER | 7755974 | |
| FORBES, SEAN MATTHEW | PRESIDENT, CHIEF COMPLIANCE OFFICER, COO, CFO, EXECUTIVE PRINCIPAL, BOARD OF DIRECTORS MEMBER | 1554301 | |
| SHI, PING | BOARD OF DIRECTORS MEMBER | 7030173 | |
| WU, YAN | DEPUTY CEO, BOARD OF DIRECTORS MEMBER | 3120765 | |
| YE, WEILU | CEO, BOARD OF DIRECTORS MEMBER | 7205185 |
The Importance of Understanding a Firm’s Role when Evaluating an Advisor
How Do I Determine Which Firm to Work With?
Advisor's working at HAITONG INTERNATIONAL SECURITIES (USA) INC.
Sean Matthew Forbes
Elena Young Yoon
Emmanuel Joseph Hermes
Compare statistics for financial advisors here.
Review financial advisor disclosures here.
