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Daniela Carolina Rettig

Hsbc Securities (Usa) Inc.

New York, NY

Brooklyn, NY

CRD 6679491

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Employer firm

Hsbc Securities (Usa) Inc. CRD 19585

$3.84B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers
  • PROVIDE ASSET ALLOC RECOMMENDATIONS & BASED UPON SUCH RECOMMENDATIONS 3RD PARTY ADV TO MANAGE ASSETS PURSUANT TO CLIENT APPROVAL

From the firm’s Form ADV. Read the guides:

Current Employers
Hsbc Securities (Usa) Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-11-01
  • NY RA
    APPROVED
    Since 2023-11-01

Branch Locations

66 Hudson Boulevard Floors 3, 4, 5, 30, And Suites 2406, 2407, New York, NY 10001 • United States

Brooklyn, NY • 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 Global Asset Management New York NY 07/2016 10/2019
Ubs Financial Services Inc. New York NY 10/2019 10/2020
Hsbc Global Asset Management New York NY 11/2022 Present
Ubs Financial Services Inc. New York NY 11/2020 04/2021
Ubs Financial Services Inc. New York NY 05/2021 11/2022
Hsbc Securities (Usa) Inc. New York NY 11/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-16
  • S66 Uniform Combined State Law Examination
    2016-09-16
Other Names
  • Daniela Carolina Bravo Flores
  • Daniela Carolina Sanchez
  • Daniela Bravo Flores
  • Daniela Carolina Bravo Flores

View on SEC IAPD

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