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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

ANNIE RONG WANG

Advisor at OSAIC INSTITUTIONS, INC.

NEW YORK, NY | New York, NY

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Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 10, 2006 to Sep 18, 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: OSAIC INSTITUTIONS, 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: Apr 6, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Apr 6, 2006
First registration: May 10, 2006
Dual registered: yes, broker-dealer
Other names: ANNIE R WANG|RONG WANG
IAPD individual key: 5064955

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
OSAIC INSTITUTIONS, INC.	Bd affiliated wealth	May 18, 2025	n/a	yes	NEW YORK, NY\|New York, NY	Current employment
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Mar 18, 2011	Mar 5, 2025	no	HOBOKEN, NJ\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK CITY, NY\|EDISON, NJ\|ENGLEWOOD, NJ\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|New York, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 7, 2009	Aug 17, 2010	no	NEW YORK, NY	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Feb 27, 2009	Jul 2, 2009	no	EDISON, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 10, 2006	Feb 3, 2009	no	FORT LEE, NJ	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
HSBC SECURITIES (USA) INC.	OSAIC INSTITUTIONS, INC.	Mar 5, 2025	May 18, 2025	74	Firm change	Ibd to ibd
CHASE INVESTMENT SERVICES CORP.	HSBC SECURITIES (USA) INC.	Aug 17, 2010	Mar 18, 2011	213	Firm change	Other
HSBC SECURITIES (USA) INC.	CHASE INVESTMENT SERVICES CORP.	Jul 2, 2009	Jul 7, 2009	5	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	HSBC SECURITIES (USA) INC.	Feb 3, 2009	Feb 27, 2009	24	Firm change	Other

Relationships

Registered with (4)

→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: current employment
May 18, 2025 to presentfactForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Mar 18, 2011 to Mar 5, 2025factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 7, 2009 to Aug 17, 2010factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 10, 2006 to Feb 3, 2009factForm ADV

Dated events

Occurred
Mar 5, 2025
Advisor changed firm
Annie Rong Wang left Hsbc Securities (Usa) Inc. for Osaic Institutions, Inc. (registered 2025-05-18)
Form ADVobserved 3 days ago