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Detailed Report
YALI PAN SHENEMAN
ALLISON SHENEMAN
CRD#: 5970130
IA
Investment Adviser
B
Broker
HSBC SECURITIES (USA) INC.CRD#: 19585 196 Bellevue Way NE
One88 Bellevue Building
BELLEVUE, WA 98004
Registration History
201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2020 - 2024 (4 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2017 - 2020 (2 years)BLPL FINANCIAL LLC (CRD# 6413)2017 - 2017 (<1 year)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2013 - 2017 (3 years)BKEY INVESTMENT SERVICES LLC (CRD# 136300)2011 - 2013 (1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2022 - 2024 (2 years)
License(s)

State Registrations

B
Arizona 2/21/2025
B
Washington 12/19/2024
B
California 2/21/2025
IA
Washington 12/19/2024
B
Oregon 2/21/2025

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)
196 Bellevue Way NE One88 Bellevue Building, BELLEVUE, WA 98004
Registered with this firm since 12/19/2024
B
HSBC SECURITIES (USA) INC. (CRD#:19585)
196 Bellevue Way NE One88 Bellevue Building, BELLEVUE, WA 98004
Registered with this firm since 12/19/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/01/2022 - 12/04/2024 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) BELLEVUE, WA
B
 06/16/2020 - 12/04/2024 CETERA INVESTMENT SERVICES LLC (CRD#:15340) BELLEVUE, WA
B
 09/25/2017 - 05/05/2020 CETERA INVESTMENT SERVICES LLC (CRD#:15340) SEATTLE, WA
B
 02/28/2017 - 09/25/2017 LPL FINANCIAL LLC (CRD#:6413) SEATTLE, WA
B
 04/03/2013 - 02/28/2017 CETERA INVESTMENT SERVICES LLC (CRD#:15340) SEATTLE, WA
B
 10/12/2011 - 03/22/2013 KEY INVESTMENT SERVICES LLC (CRD#:136300) SEATTLE, WA
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.