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Current Employers
Hsbc Securities (Usa) Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2016-08-04
  • FL RA
    APPROVED
    Since 2016-08-04

Branch Locations

Miami, FL • United States

1441 Brickell Avenue 16Th Floor, Miami, FL 33131 • United States

Ellijay, GA • 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
OrganizationCityStateFromTo
Hsbc Securities (Usa) Inc. Miami FL 07/2016 Present
Hsbc Bank Usa, N.A. Miami FL 07/2016 Present
Previous Registrations
Other Businesses

Dual hatted as a Bank Officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc., engaging in the sale of bank related products and services. This position will be in conjunction with my current role as a registered representative with HSBC Securities (USA) Inc. 1. The name of the other business; Rental Property in Georgia 2. Whether the business is investment-related; No 3. The address of the other business; 56 Monica CT, Ellijay, GA 30540 4. The nature of the other business; Rental Property 5. Your position; Owner 6. Title, or relationship with the other business; Owner 7. The start date of your relationship; 8/15/2026 8. The approximate number of hours/month you devote to the other business; 0 9. The number of hours you devote to the other business during securities trading hours; 0 10. Briefly describe your duties relating to the other business; I am the owner of a rental property in Georgia. There is no LLC involved. 0 days for this activity because my involvement is expected to be minimal, as the property is managed by a vacation rental management company, Evolve.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-02-12
S63 Uniform Securities Agent State Law Examination 2002-09-03
  • S65 Uniform Investment Adviser Law Examination
    2007-02-12
  • S63 Uniform Securities Agent State Law Examination
    2002-09-03
Other Names
  • Alba Patricia Esparragoza
  • Alba P Esparragoza

View on SEC IAPD

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