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66 Husdson Boulevard East, New York, NY 10001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2025-12-15 |
| MT | RA | APPROVED | 2025-10-31 |
| ND | RA | APPROVED | 2025-10-31 |
| VI | RA | APPROVED | 2025-10-30 |
| AK | RA | APPROVED | 2025-10-28 |
| NE | RA | APPROVED | 2025-10-28 |
| PR | RA | APPROVED | 2025-10-27 |
| GA | RA | APPROVED | 2025-10-23 |
| MN | RA | APPROVED | 2025-10-23 |
| TX | RA | APPROVED_RES | 2025-10-23 |
| AL | RA | APPROVED | 2025-10-22 |
| DE | RA | APPROVED | 2025-10-22 |
| IA | RA | APPROVED | 2025-10-22 |
| KS | RA | APPROVED | 2025-10-22 |
| LA | RA | APPROVED | 2025-10-22 |
| ME | RA | APPROVED | 2025-10-22 |
| MD | RA | APPROVED | 2025-10-22 |
| NM | RA | APPROVED | 2025-10-22 |
| NC | RA | APPROVED | 2025-10-22 |
| UT | RA | APPROVED | 2025-10-22 |
| CA | RA | APPROVED | 2024-07-17 |
Branch Locations
One Embarcadero Center, Floor 34, San Francisco, CA 94111 • United States
239 Van Rensselaer Street Floor 2, Buffalo, NY 14210 • United States
39410 Fremont Boulevard, Fremont, CA 94538 • United States
San Francisco, CA • United States
1 disclosure category 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 | San Francisco | CA | 06/2013 | 07/2018 |
| Hsbc Bank Usa, N.A. | San Francisco | CA | 07/2018 | 02/2022 |
| Hsbc Securities (Usa) Inc. | San Francisco | CA | 07/2018 | 02/2022 |
| Cathay Bank | San Francisco | CA | 02/2022 | 04/2023 |
| Cetera Investment Services Llc | St Cloud | MN | 04/2022 | 04/2023 |
| Hsbc Bank Usa N.A. | San Franscisco | CA | 10/2023 | Present |
| Hsbc Securities (Usa) Inc. | San Francisco | CA | 10/2023 | Present |
| N/A | San Francisco | CA | 05/2023 | 10/2023 |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-07-16 |
| S63 | Uniform Securities Agent State Law Examination | 2007-07-20 |
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