CICC US Securities, Inc. (CICC US Securities) opened its New York office in 2009 and its San Francisco office in 2017. As an SEC-registered broker-dealer and a member of the Financial Industry Regulatory Authority (FINRA), CICC US Securities is the hub for CICC's business and operation in the United States.

As one of China's leading financial institutes in the US, we provide advisory and investment banking services to both US and Chinese corporates and private equity firms, and equity research, sales and trading services for prominent US and Canadian institutional investors. 

In 2010, we became the first Chinese brokerage firm to provide brokerage services for securities listed on the US exchanges. Today, we remain the leader in this area. Additionally, we are the trusted partner of Chinese institutional investors that are looking to diversify their portfolios through access to US capital markets.

The macro and corporate equity research products have received high recognition, and CICC has been consistently ranked as the leader in the China research arena by global investors.  We have been ranked No.1 by Institutional Investor magazine's annual survey of global investors since 2012.

In recent years, we have been at the forefront of cross-border mergers and acquisitions advisory involving Chinese and US corporations. 

In 2017, CICC acquired a majority stake in Krane Funds Advisors, LLC (KraneShares), a New York-based asset management firm best known for its China-focused KraneShares exchange traded funds (ETFs) and China investment strategies. The acquisition fits seamlessly with CICC's overall strategic plan by providing remarkable growth opportunities in all business areas and enhances our position as a full-suite service provider for institutional and retail investors globally. 

As we look toward the future, we anticipate our US business to deepen, broaden and thrive as capital and investment flow between the world's largest economies and capital markets continues to grow. We are now uniquely positioned as a leader at the center of such developments.

*Note: the CICC U.S. Securities logo is a trademark of China International Capital Corporation Limited


If you have questions about this notice, please contact your account representative. 

Link To FINRA’s website: http://www.finra.org/ 

Link To FINRA BrokerCheck: http://brokercheck.finra.org/ 

Link To SIPC’s website: http://www.sipc.org/