linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Dat shui Clarence Lui

Hsbc Securities (usa) Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Dat shui? Claim Your Profile

About Dat shui Clarence Lui

Dat shui Clarence Lui is a registered representative with HSBC Securities (USA) Inc., with 28 years of experience in the financial services industry. Dat shui Clarence Lui has a strong background in providing financial advice and investment management services. Dat shui Clarence Lui has passed numerous industry exams including the Series 7, Series 63, Series 66, Series 9, and Series 10. Dat shui Clarence Lui is a highly experienced and knowledgeable advisor committed to providing clients with personalized financial advice and solutions.

Firm Information

Dat shui Lui is currently registered with Hsbc Securities (usa) Inc.. HSBC Securities (USA) Inc. is a corporation formed in 1969 and headquartered in New York, NY. The firm provides a range of advisory services, including asset allocation recommendations, selection of other advisers, portfolio management for businesses and pooled investment vehicles. They manage over $50 billion in assets for a diverse clientele including individuals, corporations, and investment companies. The firm has a large team of licensed agents, investment adviser representatives, and registered representatives. They also hold registrations in all 50 states, District of Columbia, Puerto Rico, and Virgin Islands.
Hsbc Securities (usa) Inc.

66 HUSDSON BOULEVARD EAST

NEW YORK, NY 10001

$3.02B

Assets Under Management

Not reported

Total Clients

524

Total Financial Advisors

Services Offered

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.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval

Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval

Fee Structure

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

percentage of assets

A percentage of the total value of assets under management is charged.

check

performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Dat shui Lui’s Registration & Firm History

NY

08/25/2024 - Present

Hsbc Securities (usa) Inc. (FLUSHING NY)

NY

08/10/2022 - 08/22/2024

CITIGROUP GLOBAL MARKETS INC. (MANHASSET NY)

NY

03/19/2008 - 08/19/2022

HSBC SECURITIES (USA) INC. (FLUSHING NY)

NY

07/08/2021 - 07/15/2021

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

02/03/2006 - 03/04/2008

E*TRADE SECURITIES LLC (NEW YORK NY)

NE

02/24/2004 - 01/24/2006

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

MO

08/06/2002 - 08/14/2003

EDWARD JONES (ST. LOUIS MO)

MA

05/13/2002 - 06/04/2002

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

05/13/2002 - 06/04/2002

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

NY

04/30/2001 - 10/04/2001

ING BARINGS CORP. (NEW YORK NY)

NY

07/01/1998 - 04/30/2001

ING BARINGS LLC (NEW YORK NY)

NY

08/03/1994 - 07/01/1998

ING BARING (U.S.) SECURITIES, INC. (NEW YORK NY)

Not sure if Dat shui Clarence Lui is right for you?

Licenses & Designations

BOTH

Issued 06/01/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/26/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/27/2009

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 06/12/2009

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/02/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Dat shui Clarence Lui.
Not sure if Dat shui Clarence Lui is right for you?