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Current Employers
Hsbc Securities (Usa) Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2011-10-19
  • NJ RA
    APPROVED
    Since 2011-10-19

Branch Locations

66 Hudson Boulevard 29Th Floor, New York, NY 10001 • 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 Bank Usa New York NY 09/2011 Present
Hsbc Securities (Usa) Inc New York NY 10/2011 Present
Previous Registrations
  • 2007-05-29 → 2011-09-09
    Washington, DC
    New York, NY
    New York, NY
    Stamford, CT
    Short Hills, NJ
    New York, NY
    New York, NY
  • 2006-09-27 → 2007-05-29
    Citicorp Investment Services
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-19
S63 Uniform Securities Agent State Law Examination 1999-03-03
  • S65 Uniform Investment Adviser Law Examination
    2006-09-19
  • S63 Uniform Securities Agent State Law Examination
    1999-03-03

View on SEC IAPD

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