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

Andrew Mo

Hsbc Securities (USA) Inc.BD affiliatedSan Francisco, Ca dual registrantIAPD 6816667

Feed of 09/15/2026

Also filed as Andrew Mo

At current firm

2 y

since Aug 14, 2024

In the industry

11 y

since Aug 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

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 14, 2024 · San Francisco, Ca
Cetera Investment Advisers LLC BD affiliated
Jul 17, 2023 to May 2, 2024 · Palo Alto, Ca
Hsbc Securities (USA) Inc. BD affiliated
Feb 2, 2022 to Jul 3, 2023 · San Francisco, Ca
Iconiq Capital, LLC asset manager
Oct 23, 2020 to Jan 4, 2022 · San Francisco, Ca
Svb Investment Services Inc. former
Jul 2, 2018 to Sep 14, 2020 · Menlo Park, Ca

Moves

a registration end followed by a registration begin elsewhere

Cetera Investment Advisers LLC to Hsbc Securities (USA) Inc.
left May 2, 2024, registered Aug 14, 2024 (104 days) · Affiliated broker-dealer or bank to another
Hsbc Securities (USA) Inc. to Cetera Investment Advisers LLC
left Jul 3, 2023, registered Jul 17, 2023 (14 days) · Affiliated broker-dealer or bank to another
Iconiq Capital, LLC to Hsbc Securities (USA) Inc.
left Jan 4, 2022, registered Feb 2, 2022 (29 days) · Other
Svb Investment Services Inc. to Iconiq Capital, LLC
left Sep 14, 2020, registered Oct 23, 2020 (39 days) · RIA to RIA

Signals

Andrew Mo left Cetera Investment Advisers Llc for Hsbc Securities (Usa) Inc. (registered 2024-08-14)
May 2, 2024 · Advisor changed firm · fact
Andrew Mo left Hsbc Securities (Usa) Inc. for Cetera Investment Advisers Llc (registered 2023-07-17)
Jul 3, 2023 · Advisor changed firm · fact
Andrew Mo left Iconiq Capital, Llc for Hsbc Securities (Usa) Inc. (registered 2022-02-02)
Jan 4, 2022 · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address