Adam S Lawlor

Employer firm

Hsbc Securities (Usa) Inc. CRD 19585

$3.84B regulatory AUM

Reported services (Item 5G)

Portfolio management (pooled vehicles)
Portfolio management (institutions)
Selection of other advisers
PROVIDE ASSET ALLOC RECOMMENDATIONS & BASED UPON SUCH RECOMMENDATIONS 3RD PARTY ADV TO MANAGE ASSETS PURSUANT TO CLIENT APPROVAL

From the firm’s Form ADV. Read the guides:

Current Employers

Hsbc Securities (Usa) Inc.

66 Husdson Boulevard East, New York, NY 10001 • United States

Current Registrations

Authority	Category	Status	Date
DC	RA	APPROVED	2025-09-24
GA	RA	APPROVED	2025-09-05
ND	RA	APPROVED	2025-09-04
VI	RA	APPROVED	2025-08-29
AK	RA	APPROVED	2025-08-28
NM	RA	APPROVED	2025-08-26
AL	RA	APPROVED	2025-08-25
DE	RA	APPROVED	2025-08-25
IA	RA	APPROVED	2025-08-25
KS	RA	APPROVED	2025-08-25
LA	RA	APPROVED	2025-08-25
ME	RA	APPROVED	2025-08-25
MD	RA	APPROVED	2025-08-25
MN	RA	APPROVED	2025-08-25
MT	RA	APPROVED	2025-08-25
NE	RA	APPROVED	2025-08-25
NC	RA	APPROVED	2025-08-25
PR	RA	APPROVED	2025-08-25
TX	RA	APPROVED	2025-08-25
UT	RA	APPROVED	2025-08-19
CA	RA	APPROVED	2025-01-02

DC RA
APPROVED

Since 2025-09-24
GA RA
APPROVED

Since 2025-09-05
ND RA
APPROVED

Since 2025-09-04
VI RA
APPROVED

Since 2025-08-29
AK RA
APPROVED

Since 2025-08-28
NM RA
APPROVED

Since 2025-08-26
AL RA
APPROVED

Since 2025-08-25
DE RA
APPROVED

Since 2025-08-25
IA RA
APPROVED

Since 2025-08-25
KS RA
APPROVED

Since 2025-08-25
LA RA
APPROVED

Since 2025-08-25
ME RA
APPROVED

Since 2025-08-25
MD RA
APPROVED

Since 2025-08-25
MN RA
APPROVED

Since 2025-08-25
MT RA
APPROVED

Since 2025-08-25
NE RA
APPROVED

Since 2025-08-25
NC RA
APPROVED

Since 2025-08-25
PR RA
APPROVED

Since 2025-08-25
TX RA
APPROVED

Since 2025-08-25
UT RA
APPROVED

Since 2025-08-19
CA RA
APPROVED

Since 2025-01-02

Branch Locations

San Francisco, CA • United States

One Embarcadero Center 34Th Floor, San Francisco, CA 94111 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Citi Private Bank, N.A.	San Francisco	CA	12/2021	03/2024
Self Employed	San Francisco	CA	03/2020	12/2021
Hsbc Bank Usa National Association	San Francisco	CA	12/2024	Present
Hsbc Securities (Usa) Inc,	San Francisco	CA	12/2024	Present
Shark Tooth Provisions	San Francisco	CA	04/2024	12/2024
Legato Capital Management Llc	San Francisco	CA	03/2004	03/2020

12/2021 → 03/2024

Citi Private Bank, N.A.

San Francisco, CA
03/2020 → 12/2021

Self Employed

San Francisco, CA
12/2024 → Present

Hsbc Bank Usa National Association

San Francisco, CA
12/2024 → Present

Hsbc Securities (Usa) Inc,

San Francisco, CA
04/2024 → 12/2024

Shark Tooth Provisions

San Francisco, CA
03/2004 → 03/2020

Legato Capital Management Llc

San Francisco, CA

Previous Registrations

2022-01-25 → 2024-04-02

Citigroup Global Markets Inc.

Seattle, WA

San Francisco, CA
2004-10-06 → 2023-01-26

Legato Capital Management, Llc

San Francisco, CA

Other Businesses

Shark Tooth Provisions Non-Investment Related 750 Third Avenue, SF CA 94118 (home) Make and sell woodworking products (cutting boards) Sole Proprietor Start date 9/2020 4 hours per month 0 hours during securities trading hours Design, make and sell woodworking products at local farmers markets and ETSY website.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-02-11

S66 Uniform Combined State Law Examination

2022-02-11

Designations

Chartered Financial Analyst

Other Names

Adam Sean Laulor
Adam Sean Lawlor

View on SEC IAPD