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155 Seaport Blvd, Boston, MA 02210-2698 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2025-03-31 |
| TX | RA | APPROVED_RES | 2025-03-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nylife Securities Llc | White Plains | NY | 04/2014 | 05/2017 |
| New York Life Insurance Co. | White Plains | NY | 01/2014 | 05/2017 |
| Hsbc Bank Usa, N.A. | New York | NY | 05/2017 | 11/2017 |
| Hsbc Securities (Usa) Inc | New York | NY | 05/2017 | 11/2017 |
| Hsbc Bank Usa, N.A. | New York | NY | 11/2017 | 06/2018 |
| Hsbc Bank Usa, N.A. | New York | NY | 06/2018 | 05/2021 |
| Hsbc Securities (Usa) Inc. | New York | NY | 06/2018 | 05/2021 |
| Wells Fargo Bank, Na | Millburn | NJ | 05/2021 | 10/2022 |
| Wells Fargo Clearing Services, Llc | Millburn | NJ | 05/2021 | 10/2022 |
| Fidelity Investments | Covington | KY | 10/2022 | Present |
| Fidelity Investments | Boston | MA | 03/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 2014-06-18 |
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