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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

ERICA Lihong PU

Advisor at HSBC SECURITIES (USA) INC.

BEVERLY HILLS, CA

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Search this name across graphsid dfx:ria:79cd0227-788c-a2b0-ddb1-b6520213784e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: May 29, 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: May 15, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: May 15, 2008
First registration: May 29, 2013
Dual registered: yes, broker-dealer
Other names: LIHONG PU|ERICA LIHONG PU|ERICA PU
IAPD individual key: 5510806

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	May 14, 2026	n/a	yes	BEVERLY HILLS, CA	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	May 30, 2024	May 8, 2026	no	Los Angeles, CA\|San Gabriel, CA\|NEWPORT BEACH, CA\|Newport Beach, CA	Previous registration
SOVRAN ADVISORS, LLC	Independent wealth	Feb 23, 2024	Apr 30, 2024	no	SAN DIEGO, CA\|Pasadena, CA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	Mar 6, 2024	no	PASADENA, CA	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Apr 28, 2016	Mar 25, 2017	no	PASADENA, CA	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	May 29, 2013	Apr 15, 2016	no	ALHAMBRA, CA\|ARTESIA, CA\|Temple City, CA	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
MML INVESTORS SERVICES, LLC	HSBC SECURITIES (USA) INC.	May 8, 2026	May 14, 2026	6	Firm change	Ibd to ibd
SOVRAN ADVISORS, LLC	MML INVESTORS SERVICES, LLC	Apr 30, 2024	May 30, 2024	30	Firm change	RIA to ibd
MML INVESTORS SERVICES, LLC	SOVRAN ADVISORS, LLC	Mar 6, 2024	Feb 23, 2024	-12	Bulk transfer	Ibd to new firm
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
HSBC SECURITIES (USA) INC.	MSI FINANCIAL SERVICES, INC.	Apr 15, 2016	Apr 28, 2016	13	Firm change	Other

Relationships

Registered with (4)

→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
May 29, 2013 to Apr 15, 2016factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
May 30, 2024 to May 8, 2026factForm ADV
→ SOVRAN ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 23, 2024 to Apr 30, 2024factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Apr 28, 2016 to Mar 25, 2017factForm ADV

Dated events

Occurred
May 8, 2026
Advisor changed firm
Erica Lihong Pu left Mml Investors Services, Llc for Hsbc Securities (Usa) Inc. (registered 2026-05-14)
Form ADVobserved 5 days ago
Occurred
Apr 30, 2024
Advisor changed firm
Erica Lihong Pu left Sovran Advisors, Llc for Mml Investors Services, Llc (registered 2024-05-30)
Form ADVobserved 5 days ago