Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chi wai? Claim Your ProfileChi wai Poon is a financial advisor at HSBC Securities (usa) Inc. located in Fremont, California. Chi wai has been in the financial services industry for over 20 years. Chi wai has experience in both investment advisory and brokerage services. Prior to joining HSBC Securities (usa) Inc., Chi wai was a financial advisor at J.P. Morgan Securities LLC. Chi wai has a Series 7, 63, and 66 license and is also a Chartered Financial Analyst. Chi wai is committed to providing personalized financial advice to help clients achieve their financial goals.
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.
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2
CA
01/31/2024 - Present
Hsbc Securities (usa) Inc. (FREMONT CA)
CA
04/28/2023 - 01/03/2024
J.P. MORGAN SECURITIES LLC (FREMONT CA)
BC
Issued 05/12/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/21/2024
Series 7TO - General Securities Representative Examination
BC
Issued 04/28/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/23/2023
SIE - Securities Industry Essentials 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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