Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sam? Claim Your ProfileSam Wu is a registered representative with HSBC Securities (USA) Inc. Sam has been in the industry since February 10, 2022, and is currently registered in New York. Sam has passed the Series 63, Series 7, Series 79, and SIE exams and is a member of FINRA. Sam has been employed at HSBC Securities (USA) Inc. since March 13, 2023 and previously worked at ABN AMRO Securities (USA) LLC. Sam has experience working with individual clients, high net worth individuals, pooled investment vehicles, pension and profit-sharing plans, and corporations or other businesses. Sam has experience in portfolio management 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
NY
03/13/2023 - Present
Hsbc Securities (usa) Inc. (NEW YORK NY)
NY
06/28/2021 - 07/27/2022
ABN AMRO SECURITIES (USA) LLC (NEW YORK NY)
BC
Issued 08/30/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/31/2021
Series 7TO - General Securities Representative Examination
BC
Issued 06/28/2021
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 03/15/2021
SIE - Securities Industry Essentials 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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