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Hsiao-tseh Brian Chao

SG Americas Securities, LLC

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About Hsiao-tseh Brian Chao

Hsiao-tseh Chao is a financial advisor with over 10 years of experience in the industry. Hsiao-tseh currently works at SG Americas Securities, LLC. Prior to this role, Hsiao-tseh was with BNP PARIBAS SECURITIES CORP., DEUTSCHE BANK SECURITIES INC., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Hsiao-tseh is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7, 63 and 66 licenses. Hsiao-tseh is registered to provide financial advice in 52 states and the District of Columbia.

Firm Information

Hsiao-tseh Chao is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

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.

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.

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Hsiao-tseh Chao’s Registration & Firm History

NY

10/15/2021 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

01/10/2017 - 09/22/2021

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

FL

08/27/2012 - 11/21/2016

DEUTSCHE BANK SECURITIES INC. (JACKSONVILLE FL)

TX

10/06/2008 - 02/11/2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)

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Licenses & Designations

BC

Issued 09/30/2012

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 12/22/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/26/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Hsiao-tseh Brian Chao.
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