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Wendy F Feng

Investment Adviser Representative at HSBC SECURITIES (USA) INC.

Brooklyn, NYCRD #2786691Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
30 yrs
States Registered
22 states
Exams Passed
5

Professional summary

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

Wendy F. Feng has worked in the securities industry since 1996. They are registered to provide investment advisory services in 22 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 22 states
AlaskaArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIllinoisIowaMarylandMassachusettsMichiganMinnesotaNevadaNew JerseyNew YorkNorth CarolinaPennsylvaniaRhode IslandSouth CarolinaWest Virginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 10/28/2003
Series 63
Uniform Securities Agent State Law Examination
Passed 10/1/1996
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 1/28/1999
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 8/20/1996

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
3/12/2010Brooklyn, NY
HSBC SECURITIES (USA) INC.Current
3/12/2010Brooklyn, NY
CITIGROUP GLOBAL MARKETS INC.
5/29/20073/4/2010New York, NY
CITICORP INVESTMENT SERVICES
12/6/20045/29/2007New York, NY

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. Wendy F Feng 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.

Wendy F Feng - Financial Advisor in Brooklyn, NY | AdvisorFinder