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Detailed Report
HENRY KEN TAM
CRD#: 4908189
IA
Investment Adviser
B
Broker
HSBC SECURITIES (USA) INC.CRD#: 19585 445 NORTH BEDFORD DRIVE
2ND FLOOR
BEVERLY HILLS, CA 90210
Registration History
20082010201220142016201820202022202420262 FIRMS2014 - Present (10 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2013 (3 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2007 - 2009 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - 2013 (<1 year)
License(s)

State Registrations

B
Arizona 12/27/2016
B
Missouri 10/30/2023
B
California 8/14/2014
B
Nevada 12/27/2016
IA
California 8/14/2014
B
New Jersey 12/27/2016
B
Colorado 12/27/2016
B
New York 12/27/2016
B
Connecticut 12/27/2016
B
North Carolina 1/3/2017
B
Delaware 11/15/2018
B
North Dakota 11/14/2024
B
Florida 12/27/2016
B
Oregon 12/27/2016
B
Georgia 12/27/2016
B
Tennessee 12/27/2016
B
Hawaii 12/27/2016
B
Texas 12/27/2016
B
Idaho 9/29/2021
B
Washington 12/27/2016
B
Kansas 9/29/2021

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
HSBC SECURITIES (USA) INC. (CRD#:19585)
445 NORTH BEDFORD DRIVE 2ND FLOOR, BEVERLY HILLS, CA 90210
Registered with this firm since 8/14/2014
B
HSBC SECURITIES (USA) INC. (CRD#:19585)
445 NORTH BEDFORD DRIVE 2ND FLOOR, BEVERLY HILLS, CA 90210
Registered with this firm since 8/14/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/04/2012 - 08/01/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LOS ANGELES, CA
B
 12/10/2009 - 08/01/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LOS ANGELES, CA
B
 06/07/2007 - 04/28/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) TORRANCE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.