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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-08-08 |
Branch Locations
8500 Andrew Carnegie Blvd. Charlotte Regional, Charlotte, NC 28262 • United States
Sherrills Ford, NC • 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, N.A. | Staten Island | NY | 08/2014 | 11/2019 |
| Hsbc Securities (Usa) Inc. | Staten Island | NY | 08/2014 | 11/2017 |
| Hsbc Securities (Usa), Inc. | New York | NY | 11/2019 | 05/2023 |
| Hsbc Bank Usa, N.A. | New York | NY | 11/2019 | 05/2023 |
| Tiaa | Charlotte | NC | 06/2023 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Charlotte | NC | 06/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-08-07 |
| S63 | Uniform Securities Agent State Law Examination | 2020-01-30 |
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