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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

TONY PENG

Advisor at HSBC SECURITIES (USA) INC.

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:481bd484-604b-e73e-f895-07dbc26df335

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Mar 7, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HSBC SECURITIES (USA) INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 20, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 4
Exams: S66|S63
First exam: Jul 20, 2012
First registration: Mar 7, 2013
Dual registered: yes, broker-dealer
Other names: ZIYI PENG|Tony Peng|TONY ZIYI PENG
IAPD individual key: 6056501

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Aug 6, 2025	n/a	yes	SAN FRANCISCO, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jul 27, 2023	Jul 29, 2025	no	WALNUT CREEK, CA	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Aug 21, 2020	Jul 31, 2023	no	Chicago, IL	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 14, 2018	Jul 31, 2020	no	CHICAGO, IL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jun 21, 2013	Mar 12, 2018	no	DEERFIELD, IL	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Mar 7, 2013	Jun 19, 2013	no	CHICAGO, IL\|SCHAUMBURG, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	HSBC SECURITIES (USA) INC.	Jul 29, 2025	Aug 6, 2025	8	Firm change	Wirehouse to ibd
HSBC SECURITIES (USA) INC.	WELLS FARGO ADVISORS	Jul 31, 2023	Jul 27, 2023	-4	Firm change	Ibd to wirehouse
CETERA INVESTMENT ADVISERS LLC	HSBC SECURITIES (USA) INC.	Jul 31, 2020	Aug 21, 2020	21	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	CETERA INVESTMENT ADVISERS LLC	Mar 12, 2018	Mar 14, 2018	2	Firm change	Other
NEW ENGLAND SECURITIES CORPORATION	WELLS FARGO ADVISORS	Jun 19, 2013	Jun 21, 2013	2	Firm change	Other

Relationships

Registered with (4)

→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Aug 21, 2020 to Jul 31, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 27, 2023 to Jul 29, 2025factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Mar 14, 2018 to Jul 31, 2020factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Mar 7, 2013 to Jun 19, 2013factForm ADV

Dated events

Occurred
Jul 29, 2025
Advisor changed firm
Tony Peng left Wells Fargo Advisors for Hsbc Securities (Usa) Inc. (registered 2025-08-06)
Form ADVobserved 5 days ago
Occurred
Jul 31, 2023
Advisor changed firm
Tony Peng left Hsbc Securities (Usa) Inc. for Wells Fargo Advisors (registered 2023-07-27)
Form ADVobserved 5 days ago