Mark C 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.
Mark C. Chen is an investment adviser representative with HSBC Securities (USA) Inc. in Arcadia, CA, where they have been registered since 2022. They have worked in the securities industry since 2012 and have been registered with 4 firms, including TLG Advisors, Inc. and Unionbanc Investment Services, LLC. They have passed 6 industry qualification exams, including the Series 65 (investment adviser), Series 66 (combined investment adviser and state securities agent), and Series 7 (general securities representative). They are registered to provide investment advice in Arizona, California, Connecticut, Georgia, Indiana, Ohio, and Texas.
Office
Advisors at this office: 11
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Arizona, California, Connecticut, Georgia, Indiana, Ohio, Texas
- Broker:
21 states and territories
Arizona, California, Connecticut, Florida, Georgia, Hawaii, Illinois, Indiana, Iowa, Massachusetts, Missouri, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Texas, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- HSBC Bank USA, N.A.Aug 2016 – Jun 2017Temple City, CA
- Unionbanc Investment ServicesJun 2017 – Mar 2019Arcadia, CA
- Vanbridge (Wholesale)Mar 2019 – Feb 2022San Ramon, CA
- The Leaders Group, Inc.Mar 2019 – Feb 2022Littleton, CO
- HSBC Bank USA, N.A.Feb 2022 – no end date reportedSan Gabriel, CA
- HSBC Securities (USA) Inc.Mar 2022 – no end date reportedSan Gabriel, CA
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About HSBC Securities (USA) Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Performance-based fees
- Firm account minimum
- $50,000 (waivable)
- First $250,0001.50%
- Next $250,0001.20%
- Next $500,0001.00%
- Next $1,000,0000.90%
+3 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Banking (Premier checking, savings), wealth and investing (financial planning, investments, insurance), international services, borrowing (credit cards, mortgages, U.S. mortgages for foreigners), advisory solutions, and global money transfers.
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 378
- Offices listed on AdvisorFinder:
- 25
- Main office:
- New York, NY
- SEC file number:
- 801-64563
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 25, 2026
View full firm profileOther advisors at HSBC Securities (USA) Inc.
Showing 12 of 378 in the directory
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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. Mark C Chen 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.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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