Individual Firm
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KAI SHENG
KEN SHENG
CRD#: 6324606
IA
B
HSBC SECURITIES (USA) INC.CRD#: 19585 15315 CULVER DRIVE
SUITE # 187
IRVINE, CA 92604
SUITE # 187
IRVINE, CA 92604
0
Disclosures
10
Years of Experience
View By:
State Registrations
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Arizona 5/24/2016
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Nevada 5/24/2016
B
California 5/2/2016
B
New Jersey 7/21/2021
IA
California 5/2/2016
B
New York 2/12/2020
B
Colorado 4/10/2020
IA
New York 7/13/2021
IA
Colorado 4/13/2020
B
Oklahoma 6/16/2016
B
Connecticut 1/5/2018
B
Oregon 8/21/2018
IA
Connecticut 1/9/2018
B
Texas 9/21/2022
B
Florida 11/22/2019
IA
Texas 9/21/2022
IA
Florida 11/26/2019
B
Utah 6/16/2016
B
Hawaii 5/24/2016
IA
Utah 6/20/2016
B
Idaho 3/29/2024
B
Virginia 8/7/2023
B
Illinois 5/24/2016
B
Washington 5/24/2016
B
Massachusetts 11/1/2016
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 5/2/2016
B
Registered with this firm since 5/2/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/11/2015 - 04/26/2016 | ARCADIA, CA | |
B | 06/11/2015 - 04/26/2016 | ARCADIA, CA | |
IA | 09/15/2014 - 06/01/2015 | WHITTIER, CA | |
B | 06/10/2014 - 06/01/2015 | WHITTIER, CA |
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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.
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.