Heidi Lau is a registered investment advisor at Hsbc Securities (USA) INC., based in Dublin, CA, with 25 years of industry experience. Heidi 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
Dublin, CA
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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
Heidi is dually employed as a Bank Officer for HSBC Bank (USA) N.A., selling bank-related products and services. This is in addition to her role as a registered representative with HSBC Securities (USA) Inc.
Employment History
Current Registrations
Hsbc Securities (USA) INC.Broker
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.
Previous Registrations
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Hsbc Securities (USA) INC.Broker
Banc of America Investment Services, INC.Broker
MML Investors Services, INC.Broker
Charles Schwab & CO., INC.Broker
State Registrations15 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.