Helen Shue, financial advisor Los Angeles CA
93 score

Helen Shue

CRD Number: 5604909
Current Firm: Hsbc Securities (usa) Inc.

Helen Shue (CRD# 5604909) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in Los Angeles, CA and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Hsbc Bank Usa Na Arcadia, CA Aug 2016 - Current 1
Hsbc Securities (usa) Inc. Arcadia, CA Jul 2014 - Aug 2016 2
Bank Of America, N.a. Pasadena, CA Oct 2010 - Jul 2014 3
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pasadena, CA Mar 2010 - Jul 2014 4
Charles Schwab & Company, Inc. Arcadia, CA Nov 2009 - Mar 2010 < 1
Charles Schwab Bank Arcadia, CA Nov 2009 - Mar 2010 < 1
Wells Fargo Investments, LLC Monterey Park, CA Feb 2009 - Nov 2009 < 1
Wells Fargo Monterey Park, CA Jun 2008 - Nov 2009 1
Bank Of America South Pasadena, CA Mar 2001 - May 2008 7
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2009
Contact Info for Helen C. Shue
Phone Number: 212-525-2879
Registered State(s):
  • CA
  • NM
  • NC
  • FL
By the Numbers
  • Total Assets Under Management
    2,974
    MILLIONS
  • Total Number of Accounts
    12,328
    ACCOUNTS
  • Average Account Value
    $241,245
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
93
Clean Record
This advisor has a clean track record with regulators.

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