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66 Husdson Boulevard East, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ND | RA | APPROVED | 2026-02-25 |
| DC | RA | APPROVED | 2026-02-23 |
| GA | RA | APPROVED | 2026-02-20 |
| LA | RA | APPROVED | 2026-02-20 |
| UT | RA | APPROVED | 2026-02-20 |
| VI | RA | APPROVED | 2026-02-20 |
| AL | RA | APPROVED | 2026-02-19 |
| AK | RA | APPROVED | 2026-02-19 |
| IA | RA | APPROVED | 2026-02-19 |
| KS | RA | APPROVED | 2026-02-19 |
| ME | RA | APPROVED | 2026-02-19 |
| MD | RA | APPROVED | 2026-02-19 |
| MN | RA | APPROVED | 2026-02-19 |
| MT | RA | APPROVED | 2026-02-19 |
| NE | RA | APPROVED | 2026-02-19 |
| NC | RA | APPROVED | 2026-02-19 |
| PR | RA | APPROVED | 2026-02-19 |
| TX | RA | APPROVED | 2026-02-19 |
| NM | RA | APPROVED | 2025-08-12 |
| DE | RA | APPROVED | 2025-08-11 |
| CT | RA | APPROVED | 2025-04-28 |
| NY | RA | APPROVED | 2025-04-28 |
Branch Locations
66 Hudson Boulevard Floor 3, New York, NY 10001 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Bank (Usa) N.A. | New York | NY | 11/2007 | Present |
| Hsbc Securities (Usa) Inc. | New York | NY | 11/2007 | Present |
the name of the other business; Riverkeeper whether the business is investment-related; No the address of the other business; 20 Secor Road Ossining New York USA10562 the nature of the other business; Riverkeeper (https://www.riverkeeper.org/) is a charity that protects and restores the Hudson River from source to sea and safeguards drinking water supplies, through advocacy rooted in community partnerships, science and law. your position; Board member title, or relationship with the other business; Board member the start date of your relationship; 10/1/2024 the approximate number of hours/month you devote to the other business; 9 hours board service a year the number of hours you devote to the other business during securities trading hours; NA and briefly describe your duties relating to the other business;. I remain on the Advisory Board and am Chair Emeritus
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-04-26 |
| S65 | Uniform Investment Adviser Law Examination | 1996-08-21 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-16 |
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