Cindy Shu-Yin Chen
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.
Cindy Shu-yin Chen has worked in the securities industry since 2000. They are registered to provide investment advisory services in 18 U.S. states.
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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