Kai Sheng, financial advisor Artesia CA
88 score

Kai Sheng

CRD Number: 6324606
Current Firm: Hsbc Securities (usa) Inc.

Kai Sheng (CRD# 6324606) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in Artesia, CA and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Hsbc Securities (usa) Inc. Irvine, CA Apr 2016 - Current < 1
Hsbc Bank Na Irvine, CA Apr 2016 - Current < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Arcadia, CA Jun 2015 - Current 1
Merrill Lynch And Bank Of America, N.a. Arcadia, CA Jun 2015 - Current 1
Edward Jones Whittier, CA Apr 2014 - May 2015 1
Advance Academy Irvine, CA Sep 2013 - Apr 2014 < 1
Unemployed Aliso Viejo, CA Jul 2013 - Aug 2013 < 1
Extended Travel Global, CA Jun 2013 - Jul 2013 < 1
Indiana University - Bloomington Bloomington, IN Aug 2011 - May 2013 1
Whirlpool Corp. Benton Harbor, MI May 2012 - Aug 2012 < 1
Sears Holdings Corp. Oceanside, CA Feb 2008 - Jul 2011 3
Waiting To Start New Employment Mission Viejo, CA Jan 2008 - Feb 2008 < 1
Ameriprise Financial Inc. Los Angeles, CA Aug 2007 - Dec 2007 < 1
University Of Southern California Los Angeles, CA Aug 2005 - Dec 2007 2
State Farm Irvine, CA May 2007 - Aug 2007 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2014
Contact Info for Kai Sheng
Phone Number: 212-525-2879
Registered State(s):
  • CA
  • UT
By the Numbers
  • Total Assets Under Management
    2,985
    MILLIONS
  • Total Number of Accounts
    12,340
    ACCOUNTS
  • Average Account Value
    $241,893
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
88
Clean Record
This advisor has a clean track record with regulators.

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