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Hui Wen Chou

Investment Adviser Representative at HSBC SECURITIES (USA) INC.

New York, NYCRD #5020711Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
16 yrs
States Registered
2 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Hui Wen Chou has worked in the securities industry since 2010. They are registered to provide investment advisory services in New Jersey and New York.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
New JerseyNew York
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/29/2025
Series 63
Uniform Securities Agent State Law Examination
Passed 11/27/2017
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 86
Research Analyst Exam - Part I Analysis Module
Passed 10/12/2005
Series 87
Research Analyst Exam - Part II Regulations Module
Passed 10/3/2005
Series 7
General Securities Representative Examination
Passed 9/20/2005

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
First $250,0001.50%
Next $250,0001.20%
Next $500,0001.00%
Next $1,000,0000.90%
Next $3,000,0000.80%
Next $5,000,0000.65%
Above $10,000,0000.55%
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

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.

HSBC SECURITIES (USA) INC.Current
9/29/2025New York, NY
HSBC SECURITIES (USA) INC.Current
9/8/2025West Windsor, NJ
BNY MELLON SECURITIES CORPORATION
7/11/20237/9/2025New York, NY
AMG DISTRIBUTORS, INC.
10/18/20172/15/2023Stamford, CT
CITIGROUP GLOBAL MARKETS INC.
12/15/20118/17/2017New York, NY
UBS SECURITIES LLC
10/23/20094/7/2010New York, NY
LEHMAN BROTHERS INC.
9/22/200510/3/2007

Official records & sources

Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Hui Wen Chou 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.

Hui Wen Chou - Financial Advisor in New York, NY | AdvisorFinder