AdFi
KL

Kun Lin Chung

Investment Adviser Representative at HSBC SECURITIES (USA) INC.

Cupertino, CACRD #5016139Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
19 yrs
States Registered
13 states
Exams Passed
3

Professional summary

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

Kun Lin Chung has worked in the securities industry since 2007. They are registered to provide investment advisory services in 13 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 13 states
ArizonaCaliforniaFloridaIllinoisIndianaMissouriNevadaNew JerseyNew YorkNorth CarolinaPennsylvaniaTexasWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 11/9/2005
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/12/2005

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
8/22/2012Cupertino, CA
HSBC SECURITIES (USA) INC.Current
8/21/2012San Jose, CA
PRINCOR FINANCIAL SERVICES CORPORATION
8/10/20118/14/2012San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
3/20/200611/13/2009San Jose, CA

Official records & sources

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

Other advisors at HSBC SECURITIES (USA) INC.

Showing 12 of 384 in the directory

View HSBC SECURITIES (USA) INC. firm profile
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. Kun Lin Chung 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.

Kun Lin Chung - Financial Advisor in Cupertino, CA | AdvisorFinder