Sung Yu Liu
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.
Sung Yu Liu is an investment adviser representative with HSBC Securities (USA) Inc. in Cupertino, CA, where they have been registered since 2011. They have worked in the securities industry since 2007 and have been registered with 3 firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated and Waddell & REED, Inc. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in California, Florida, Nevada, North Carolina, Oregon, Texas, Utah, and Washington.
Office
Advisors at this office: 10
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Florida, Nevada, North Carolina, Oregon, Texas, Utah, Washington
- Broker:
13 states and territories
California, Colorado, Florida, Massachusetts, Montana, Nevada, North Carolina, Oregon, Pennsylvania, Texas, Utah, Washington, Wisconsin
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 Securities (USA) IncApr 2013 – no end date reportedCupertino, CA
- HSBC BANK USA, N.A.Aug 2016 – no end date reportedCupertino, 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
Similar advisors in Cupertino, CA
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Sung Yu Liu 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.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched