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MENG DAN XIAO
AMANDA XIAO, Meng Dan Xiao, MengDan Xiao
CRD#: 5417784
IA
B
HSBC SECURITIES (USA) INC.CRD#: 19585 1572 UNION TPKE
NEW HYDE PARK, NY 11040
NEW HYDE PARK, NY 11040
0
Disclosures
9
Years of Experience
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State Registrations
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California 11/20/2024
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New York 7/29/2022
B
Connecticut 7/29/2022
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New York 8/7/2023
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New Jersey 7/29/2022
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Virginia 10/8/2024
SRO Registrations
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Registered with this firm since 8/7/2023
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Registered with this firm since 7/29/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/26/2018 - 12/20/2021 | FLUSHING, NY | |
B | 01/01/2015 - 06/12/2018 | FLUSHING, NY |
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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.