Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cindy? Claim Your ProfileCindy Shu-yin Chen is a financial professional with over 23 years of experience in the securities industry. Cindy is currently registered with HSBC Securities (USA) Inc. as a Registered Representative. Cindy has been associated with HSBC Securities (USA) Inc. since April 2013. Prior to that, Cindy worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Cindy holds Series 4, 7, 63, and 66 licenses, in addition to the SIE. Cindy's registrations are active in Alaska, Arizona, California, Hawaii, Indiana, Nevada, Pennsylvania, Texas, Utah, and Washington. Cindy is also a Bank Officer for HSBC Bank (USA) N.A. and provides investment-related services for HSBC Bank.
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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CA
01/07/2019 - Present
Hsbc Securities (usa) Inc. (IRVINE CA)
CA
12/19/2000 - 07/06/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PASADENA CA)
CA
09/07/2000 - 12/13/2000
GLOBALINK SECURITIES, INC. (PASADENA CA)
BOTH
Issued 07/05/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/02/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/20/2000
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2000
Series 7 - General Securities 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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