Catherine K Ng
Investment Adviser Representative at HSBC SECURITIES (USA) INC.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Catherine K. Ng has worked in the securities industry since 2000. They have passed the Series 66, 63, 10, 9, 7, and 6 examinations. They are registered to provide investment advisory services in New York.
Registrations & licenses
Approximate fees
Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
| Asset tier | Annual rate |
|---|---|
| First $250,000 | 1.50% |
| Next $250,000 | 1.20% |
| Next $500,000 | 1.00% |
| Next $1,000,000 | 0.90% |
| Next $3,000,000 | 0.80% |
| Next $5,000,000 | 0.65% |
| Above $10,000,000 | 0.55% |
Firm-stated minimum; may be waived at the firm's discretion.
HSBC Securities (USA) Inc. Form ADV Part 2A (Item 5), most recent annual amendment.
Employment history
Registration history as reported to FINRA, most recent first.
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Catherine K Ng has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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