Dat Lui is a registered investment advisor at Hsbc Securities (USA) INC., based in Flushing, NY, with 30 years of industry experience. Dat operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 12,180 clients with $3.2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.50% |
| $250K - $500K | 1.20% |
| $500K - $1.0M | 1.00% |
| $1.0M - $2.0M | 0.90% |
| $2.0M - $5.0M | 0.80% |
| $5.0M - $10.0M | 0.65% |
| $10M+ | 0.55% |
Fees are negotiable and discounts may be applied.
Fee Estimator
Location
39-10 Main St., Flushing, NY, 11354
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Dat is a bank officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc., selling bank-related products and services. This is in addition to Dat's role as a registered representative with HSBC Securities (USA) Inc.
Employment History
Current Registrations
Hsbc Securities (USA) INC.Broker
Hsbc Securities (USA) INC.
Previous Registrations
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Hsbc Securities (USA) INC.Broker
Hsbc Securities (USA) INC.
E*trade Capital Management, LLC
E*trade Securities LLCBroker
TD Waterhouse Investor Services, INC.
TD Waterhouse Investor Services, INC.Broker
Edward JonesBroker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Ing Barings CORP.Broker
Ing Barings LLCBroker
Ing Baring (U.S.) Securities, INC.Broker
State Registrations13 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.