Anthea Lai is a registered investment advisor at Hsbc Securities (USA) INC., based in Cupertino, CA, with 24 years of industry experience. Anthea 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
10745 S. De Anza Blvd, Cupertino, CA, 95014
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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
Anthea works 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.
Previous Registrations
Cetera Investment Services LLCBroker
Cetera Investment Advisers LLC
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Citigroup Global Markets INC.Broker
Citicorp Investment ServicesBroker
Banc of America Investment Services, INC.Broker
State Registrations12 states
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