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FEI HON YIU
JOHN FEI HON YIU, John Fei H Yiu
CRD#: 5243279
IA
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HSBC SECURITIES (USA) INC.CRD#: 19585 407 MAIN STREET
CHATHAM, NJ 07928
CHATHAM, NJ 07928
0
Disclosures
17
Years of Experience
View By:
State Registrations
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Arizona 3/10/2020
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New Jersey 8/11/2015
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California 8/17/2015
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New Jersey 8/12/2015
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Colorado 7/14/2017
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New York 8/11/2015
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Connecticut 8/11/2015
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New York 7/16/2021
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Delaware 4/8/2021
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North Carolina 9/10/2015
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Delaware 4/8/2021
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North Carolina 7/31/2017
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District of Columbia 7/11/2017
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Ohio 7/3/2017
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District of Columbia 7/19/2017
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Pennsylvania 9/4/2015
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Florida 7/5/2017
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Rhode Island 7/6/2017
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Georgia 10/30/2015
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South Carolina 9/8/2015
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Georgia 2/5/2024
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Tennessee 7/11/2017
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Illinois 7/3/2017
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Texas 5/12/2017
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Indiana 7/6/2017
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Texas 5/16/2017
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Indiana 7/20/2017
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Utah 7/5/2017
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Massachusetts 5/9/2019
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Utah 7/6/2017
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Michigan 9/21/2018
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Vermont 5/29/2019
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Minnesota 7/4/2017
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Virginia 5/13/2016
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Missouri 12/20/2023
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Washington 7/10/2017
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Nevada 9/8/2015
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Wisconsin 6/23/2022
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New Hampshire 7/13/2018
SRO Registrations
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Learn about permitted activities of registered principals
IA
Registered with this firm since 8/12/2015
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Registered with this firm since 8/11/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/29/2014 - 08/07/2015 | MORRIS PLAINS, NJ | |
B | 04/25/2014 - 08/07/2015 | MORRIS PLAINS, NJ | |
IA | 10/14/2009 - 05/06/2014 | EDISON, NJ | |
B | 10/14/2009 - 05/06/2014 | EDISON, NJ | |
IA | 06/06/2007 - 10/05/2009 | CHATHAM, NJ | |
B | 06/06/2007 - 10/05/2009 | CHATHAM, NJ | |
IA | 02/16/2007 - 04/26/2007 | PARSIPPANY, NJ | |
B | 01/25/2007 - 04/26/2007 | PARSIPPANY, NJ |
For additional information about investment advisers or broker-dealers, please visit
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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.