Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Denise? Claim Your ProfileDenise Lo is a financial professional with over 20 years of experience in the industry. Denise is currently registered with HSBC Securities (USA) Inc. as a registered representative, holding licenses Series 6, 7, 63, and 66. Denise is a licensed agent in California. Denise has prior experience with CITIGROUP GLOBAL MARKETS INC. and CITICORP INVESTMENT SERVICES. Denise has a record of providing advisory services to high-net-worth individuals, pooled investment vehicles, and corporations. Denise is also a Bank Officer for HSBC Bank (USA) N.A., engaging in the sale of bank-related products and services.
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
05/09/2024 - Present
Hsbc Securities (usa) Inc. (FREMONT CA)
CA
05/29/2007 - 04/05/2024
CITIGROUP GLOBAL MARKETS INC. (FREMONT CA)
CA
05/18/2004 - 05/29/2007
CITICORP INVESTMENT SERVICES (SAN FRANCISCO CA)
GA
07/25/2002 - 07/11/2003
PFS INVESTMENTS INC. (DULUTH GA)
BOTH
Issued 08/09/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/26/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/2007
Series 7 - General Securities Representative Examination
BC
Issued 07/24/2002
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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