DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Eric Lau

Hsbc Securities (USA) Inc.BD affiliatedFremont, Cadual registrantIAPD 5420718

Feed of 09/14/2026

Also filed as Eric Lau

At current firm

1 y

since Aug 29, 2025

In the industry

18 y

since Mar 28, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Hsbc Securities (USA) Inc. BD affiliated current
since Aug 29, 2025 · Fremont, Ca
LPL Financial LLC BD affiliated
Jul 19, 2023 to Aug 20, 2025 · San Francisco, Ca
Bancwest Investment Services, Inc. (Bwis) former
Nov 5, 2019 to Jul 19, 2023 · San Francisco, Ca
Pruco Securities, LLC no RAUM
Jun 22, 2017 to Nov 7, 2019 · Walnut Creek, Ca
Hornor, Townsend & Kent, LLC independent RIA
Dec 2, 2016 to Apr 13, 2017 · Redwood Shores, Ca
Equitable Advisors, LLC national BD
Oct 2, 2015 to Sep 20, 2016 · San Mateo, Ca
Msi Financial Services, Inc. former
Mar 28, 2008 to Jul 9, 2008 · Walnut Creek, Ca

Moves

a registration end followed by a registration begin elsewhere

LPL Financial LLC to Hsbc Securities (USA) Inc.
left Aug 20, 2025, registered Aug 29, 2025 (9 days) · Affiliated broker-dealer or bank to another
Bancwest Investment Services, Inc. (Bwis) to LPL Financial LLC
left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
Pruco Securities, LLC to Bancwest Investment Services, Inc. (Bwis)
left Nov 7, 2019, registered Nov 5, 2019 (-2 days) · Affiliated broker-dealer or bank to another
Hornor, Townsend & Kent, LLC to Pruco Securities, LLC
left Apr 13, 2017, registered Jun 22, 2017 (70 days) · Other
Equitable Advisors, LLC to Hornor, Townsend & Kent, LLC
left Sep 20, 2016, registered Dec 2, 2016 (73 days) · Other
Msi Financial Services, Inc. to Equitable Advisors, LLC
left Jul 9, 2008, registered Oct 2, 2015 (2641 days) · Other

Signals

Eric Lau left Lpl Financial Llc for Hsbc Securities (Usa) Inc. (registered 2025-08-29)
Aug 20, 2025 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address