Erick Pesantez Santana

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2017 → 06/2025
  Citigroup
  New York, NY
• 08/2016 → 05/2020
  Saint John'S University
  Jamaica, NY
• 10/2025 → 02/2026
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 06/2025 → 10/2025
  Unemployed
  Port Washington, NY
• 11/2025 → 02/2026
  Bank Of America, N.A.
  New York, NY
• 02/2026 → Present
  Hsbc Bank Usa, N.A.
  New York, NY
• 02/2026 → Present
  Hsbc Securities (Usa) Inc
  New York, NY

Previous Registrations

• 2025-11-11 → 2026-02-17
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
  New York, NY
• 2022-10-26 → 2025-06-13
  Citigroup Global Markets Inc.
  Mineola, NY
  Holbrook, NY
  Bay Shore, NY
  Garden City, NY
  Westbury, NY
  Port Jefferson, NY
  New York, NY
  New York, NY
  New York, NY
  New York, NY
  Port Washington, NY

Other Businesses

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.

Exams

• S63 Uniform Securities Agent State Law Examination
  2021-12-10
• S65 Uniform Investment Adviser Law Examination
  2021-08-27

Other Names

• Erick A Pesantez Santana
• Erick Anthony Pesantez
• Erick Apesantez Santana
• Erick Pesantez