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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-11-12 |
| NY | RA | APPROVED | 2022-06-14 |
Branch Locations
500 Providence Rd, Floor 01, Charlotte, NC 28207 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hsbc Bank Usa, N.A. | New York | NY | 08/2016 | 10/2017 |
| Hsbc Bank Usa, National Association | New York | NY | 10/2017 | 02/2022 |
| Hsb Securities Usa, Inc. | New York | NY | 10/2017 | 02/2022 |
| Citizens Securities Inc. | New York | NY | 02/2022 | 06/2022 |
| J.P. Morgan Securities Llc | New York | NY | 06/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 2003-11-19 |
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