Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kai? Claim Your ProfileKai Sheng is a registered representative with HSBC Securities (USA) Inc. and has been in the financial services industry since June 2014. Kai Sheng holds a Series 66 license and is registered in 24 states for both securities and investment advisory services. Prior to joining HSBC Securities (USA) Inc., Kai Sheng was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated and Edward Jones. Kai Sheng also holds a Bank Officer position with HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc., where Kai Sheng engages in the sale of bank related products and services. Kai Sheng is able to provide asset allocation recommendations and, based upon such recommendations, third party advice to manage assets pursuant to client approval. Kai Sheng can also provide portfolio management services for businesses and pooled investment vehicles.
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
06/20/2016 - Present
Hsbc Securities (usa) Inc. (IRVINE CA)
CA
06/11/2015 - 04/26/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ARCADIA CA)
CA
06/10/2014 - 06/01/2015
EDWARD JONES (WHITTIER CA)
BOTH
Issued 07/03/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/10/2014
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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