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Karen L Mendivil

Hsbc Securities (Usa) Inc.

Miami, FL

Beverly Hills, CA

New York, NY

Miami, FL

CRD 4901733

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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
FL RA APPROVED 2022-04-15
NY RA APPROVED 2022-04-15
  • FL RA
    APPROVED
    Since 2022-04-15
  • NY RA
    APPROVED
    Since 2022-04-15

Branch Locations

1441 Brickell Avenue, 16Th Floor, Miami, FL 33131 • United States

445 North Bedford Drive 3Rd Floor, Beverly Hills, CA 90210 • United States

66 Hudson Boulevard 29Th Floor, New York, NY 10001 • United States

Miami, FL • 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
Morgan Stanley Smith Barney Miami FL 02/2010 10/2018
Wells Fargo Clearing Services, Llc Miami FL 10/2018 03/2021
Morgan Stanley Miami FL 03/2021 03/2022
Hsbc Securities (Usa) Inc. Miami FL 04/2022 Present
Hsbc Bank Usa, N.A. Miami FL 03/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-26
  • S66 Uniform Combined State Law Examination
    2006-06-26
Other Names
  • Karen Mendivil
  • Karen Louise Mendivil
  • Karen L Mendivil

View on SEC IAPD

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