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Petty Tingyuk Yao

Hsbc Securities (usa) Inc.

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About Petty Tingyuk Yao

Petty Yao is a financial advisor with HSBC Securities (USA) Inc. Petty has been in the industry since 1998. Petty holds the Series 63, Series 66, Series 7, and Series 10 licenses. Petty has previously worked at MORGAN STANLEY and CITIGROUP GLOBAL MARKETS INC. Petty currently holds registrations in California, Florida, and Texas.

Firm Information

Petty Yao 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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

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

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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.

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fixed fees

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

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percentage of assets

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

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performance-based fees

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

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Petty Yao’s Registration & Firm History

CA

11/06/2024 - Present

Hsbc Securities (usa) Inc. (CUPERTINO CA)

CA

11/12/2021 - 01/24/2024

MORGAN STANLEY (Burlingame CA)

CA

04/20/2012 - 11/15/2021

CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)

CA

05/29/2007 - 03/08/2012

CITIGROUP GLOBAL MARKETS INC. (SAN BRUNO CA)

CA

05/13/2003 - 05/29/2007

CITICORP INVESTMENT SERVICES (SAN CARLOS CA)

TX

02/12/1998 - 03/13/2003

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

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Licenses & Designations

BOTH

Issued 09/18/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/02/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/09/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/31/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/10/1998

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 Petty Tingyuk Yao.
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