Guotai Haitong Securities (USA) Inc.

Broker-DealerFINRA Member
Total AUM
—
Advisory reps
18
Avg account
$0

Firm details

Headquarters
New York, New York
CRD number
132201
Registered since
January 13, 2005

Firm profile

FINTRX

Overview

Guotai Haitong Securities (USA) Inc. is listed in FINTRX as a U.S. corporate entity that carries the Guotai Haitong name and is identified as having foreign and individual ownership. The profile in the data set is minimal: the firm is classified as "Unclassified" and no specific business lines, advisory services, or client segments are disclosed. The entry indicates the firm does not act as a capital allocator and is not identified as an active ESG investor. It is not listed as a multi-state adviser, pension consultant, related adviser, or newly formed adviser in the available record. FINTRX notes that the firm has not supplied details about its activities or affiliations, and there are no reported client or assets-under-management figures in the record.

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

3 of 3
  • Sean Forbes

    Sean Forbes

    President, Chief Compliance OfficerCRD 1554301

  • Yan Wu

    Deputy Chief Executive OfficerCRD 3120765

  • WeiLu Ye

    Team CEOCRD 7205185

Contacts

3 of 15
  • Silvia Basilotta

    Silvia Basilotta

    Senior Managing DirectorCRD 1201948

  • Elena Yoon

    Elena Yoon

    DirectorCRD 1987727

  • Emmanuel Hermes

    Emmanuel Hermes

    Executive DirectorCRD 2017893

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

Location

Primary office

New York, NY

New York

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
New York
Address
130 W 42nd St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth