Catherine Ng
Catherine Ng is a registered investment advisor at Hsbc Securities (USA) INC., based in New York, NY, with 26 years of industry experience. Catherine is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 12,108 clients with $3.8B 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 generally negotiable and can be discounted at the firm's discretion.
Fee Estimator
Location
150 Canal Street, New York, NY, 10013
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
March 2009Other Business Activities
Catherine volunteers as President of the Kiwanis Club of Chinatown, a non-profit organization, dedicating minimal time to this role. She also works as a Bank Officer for HSBC Bank (USA) N.A., selling bank-related products and services, in conjunction with her role as a registered representative.
Employment History
Current Registrations
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Previous Registrations
Chase Investment Services CORP.Broker
State Registrations3 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.
Exams
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