Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anthea? Claim Your ProfileAnthea Lai is a financial professional with over 20 years of experience in the industry. Anthea is currently registered with HSBC Securities (USA) Inc. and holds a variety of licenses, including Series 6, 7, 9, 26, 63, and 66. Anthea has previously worked with Citigroup Global Markets Inc., Citicorp Investment Services, and Banc of America Investment Services, Inc. In addition to her role as a registered representative, Anthea also serves as a Bank Officer for HSBC Bank (USA) N.A., where she provides banking-related products and services. Anthea has a strong track record of providing comprehensive financial advice to a variety of clients, including high-net-worth individuals, businesses, and pooled investment vehicles.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CA
08/23/2021 - Present
Hsbc Securities (usa) Inc. (FREMONT CA)
CA
02/12/2018 - 08/30/2019
CETERA INVESTMENT SERVICES LLC (SAN JOSE CA)
CA
07/06/2015 - 02/13/2018
HSBC SECURITIES (USA) INC. (FREMONT CA)
CA
05/29/2007 - 12/31/2014
CITIGROUP GLOBAL MARKETS INC. (FREMONT CA)
CA
09/03/2004 - 05/29/2007
CITICORP INVESTMENT SERVICES (NEWARK CA)
MA
09/28/2000 - 09/08/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
BOTH
Issued 02/15/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/02/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/10/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/11/2004
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2016
Series 7 - General Securities Representative Examination
BC
Issued 09/27/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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