Yeong-keng Chien (CRD# 3115021) is an Investment Advisor Representative working at Hsbc Securities (usa) Inc. in New Hyde Park, NY and has over 25 years of experience in the finance industry. Yeong-keng Chien has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 2708116
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Sarsi, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Hsbc Securities Usa, Inc. | Port Washington, NY | Jan 2016 - Current | 8 |
| Hsbc Bank Usa, National Association | Port Washington, NY | Jan 2016 - Current | 8 |
| Hsbc Securities (usa) Inc. | Great Neck, NY | Nov 2015 - Aug 2016 | < 1 |
| Bank Of America, N.a. | Flushing, NY | Feb 2012 - Aug 2015 | 3 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Flushing, NY | Jan 2012 - Aug 2015 | 3 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Oct 1998 |
| S65 | NASAA Investment Advisors Law Examination | Dec 2011 |
| S66 | NASAA Uniform Combined State Law Examination | May 2008 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
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Total Assets Under Management3,020MILLIONS
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Total Number of Accounts12,387ACCOUNTS
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Average Account Value$243,838
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