Cathay Securities, Inc. is a U.S. registered broker-dealer providing brokerage services within the US stock market. The firm operates as a subsidiary of Cathay Bank, part of Cathay General Bancorp, and focuses on brokerage services for banking and wealth management clients. Cathay Securities, Inc. is registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC). The firm is also approved on the Nasdaq Stock Market, placing it among recognized NASDAQ stock brokers and other regulated stock exchange brokers in the U.S.
What Services Does Cathay Securities, Inc. Offer?
Cathay Securities operates as a broker-dealer providing compliant market access and account services for clients.
| Service Category | What Cathay Securities, Inc. Offers |
| Brokerage Services | Execution of securities transactions in U.S. markets |
| Client Account Services | Account maintenance, statements, and regulatory disclosures |
| Banking & Wealth Support | Brokerage support aligned with affiliated banking services |
| Market Access | Access to U.S. securities exchanges, including Nasdaq and NYSE |
The firm focuses on brokerage execution and client support under regulatory oversight, without offering proprietary retail trading platforms.
Who Is Cathay Securities, Inc. For?
Cathay Securities, Inc. primarily serves:
- Clients of Cathay Bank seeking investment access in the US stock market
- Investors seeking NASDAQ stock brokers and regulated broker-dealer services
- Individuals and institutions needing brokerage execution and account support
- Clients working with wealth management professionals for investment-related services
Which Markets and Exchanges Can You Trade Through Cathay Securities?
Market Access
Cathay Securities provides access to U.S. securities markets, including:
- NASDAQ-listed securities
- NYSE-listed equities and exchange-traded products
- Other eligible U.S. securities through approved brokerage execution and clearing channels
Regulatory Memberships
- SEC registered broker-dealer
- FINRA member
- SIPC member
- Nasdaq Stock Market approved
These memberships ensure regulatory compliance and investor protection.
How Cathay Securities Helps You Trade
Typical brokerage activity with Cathay Securities includes:
- Account opening with required regulatory documentation
- Account funding according to firm policies
- Selection of eligible securities in the US stock market
- Order placement through licensed representatives
- Trade execution and clearing through approved arrangements
- Delivery of account statements, confirmations, and disclosures
The firm emphasizes compliance and professional brokerage support rather than self-directed retail trading.
Contact Information and Website
| Detail | Information |
| Company Name | Cathay Securities, Inc. |
| Regulatory Status | SEC registered, FINRA & SIPC member |
| Affiliation | Subsidiary of Cathay Bank |
| Business Type | Broker-Dealer |
| Market Focus | U.S. securities markets |
| Headquarters | 40 Wall Street, Suite 3600, New York, NY 10005, USA |
| CRD | 21821 |
Main Branch Location
Why Cathay Securities, Inc. Matters for Investors
Cathay Securities is notable because it:
- Provides regulated broker-dealer services in the US stock market
- Offers compliant access to U.S. securities markets, including Nasdaq-listed instruments
- Operates within the regulatory framework of stock exchange brokers in the U.S.
- Supports investment activity integrated with banking and wealth management services
Readers looking for the complete U.S. stock exchanges list can explore our detailed guide.
Frequently Asked Questions
Q1: Is Cathay Securities, Inc. a regulated broker-dealer?
Yes. The firm is registered with the SEC and is a member of FINRA and SIPC.
Q2: Can clients trade U.S. stocks through Cathay Securities, Inc.?
Yes. Clients can access securities listed on Nasdaq and other major U.S. exchanges.
Q3: Does Cathay Securities operate a retail trading platform?
No. The firm provides brokerage execution and account support but does not operate its own self-directed retail trading platform.
Q4: Is the firm affiliated with a bank?
Yes. Cathay Securities is a subsidiary of Cathay Bank.
