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Mia An Ros

Hsbc Securities (Usa) Inc.

Buffalo, NY

Irvine, CA

Irvine, CA

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Current Employers
Hsbc Securities (Usa) Inc.

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

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2023-05-30
VI RA APPROVED 2023-05-23
GA RA APPROVED 2023-05-22
NM RA APPROVED 2023-05-22
ND RA APPROVED 2023-05-22
MT RA APPROVED 2023-05-19
UT RA APPROVED 2023-05-19
AL RA APPROVED 2023-05-18
AK RA APPROVED 2023-05-18
DE RA APPROVED 2023-05-18
IA RA APPROVED 2023-05-18
KS RA APPROVED 2023-05-18
LA RA APPROVED 2023-05-18
ME RA APPROVED 2023-05-18
MD RA APPROVED 2023-05-18
MN RA APPROVED 2023-05-18
NE RA APPROVED 2023-05-18
NC RA APPROVED 2023-05-18
PR RA APPROVED 2023-05-18
TX RA APPROVED 2023-05-18
CA RA APPROVED 2022-08-25
  • DC RA
    APPROVED
    Since 2023-05-30
  • VI RA
    APPROVED
    Since 2023-05-23
  • GA RA
    APPROVED
    Since 2023-05-22
  • NM RA
    APPROVED
    Since 2023-05-22
  • ND RA
    APPROVED
    Since 2023-05-22
  • MT RA
    APPROVED
    Since 2023-05-19
  • UT RA
    APPROVED
    Since 2023-05-19
  • AL RA
    APPROVED
    Since 2023-05-18
  • AK RA
    APPROVED
    Since 2023-05-18
  • DE RA
    APPROVED
    Since 2023-05-18
  • IA RA
    APPROVED
    Since 2023-05-18
  • KS RA
    APPROVED
    Since 2023-05-18
  • LA RA
    APPROVED
    Since 2023-05-18
  • ME RA
    APPROVED
    Since 2023-05-18
  • MD RA
    APPROVED
    Since 2023-05-18
  • MN RA
    APPROVED
    Since 2023-05-18
  • NE RA
    APPROVED
    Since 2023-05-18
  • NC RA
    APPROVED
    Since 2023-05-18
  • PR RA
    APPROVED
    Since 2023-05-18
  • TX RA
    APPROVED
    Since 2023-05-18
  • CA RA
    APPROVED
    Since 2022-08-25

Branch Locations

239 Van Rensselaer Street Floor 2, Buffalo, NY 14210 • United States

15315 Culver Drive Suite #187, Irvine, CA 92604 • United States

Irvine, CA • 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 Bank Usa National Association Garden Grove CA 08/2018 Present
Hsbc Securities Usa Inc. Garden Grove CA 08/2018 Present
Hsbc Garden Grove CA 12/2017 08/2018
Premier Healthcare Services Laguna Niguel CA 04/2017 11/2017
Bank Of The West Santa Ana CA 01/2013 03/2017
  • 08/2018 → Present
    Hsbc Bank Usa National Association
    Garden Grove, CA
  • 08/2018 → Present
    Hsbc Securities Usa Inc.
    Garden Grove, CA
  • 12/2017 → 08/2018
    Hsbc
    Garden Grove, CA
  • 04/2017 → 11/2017
    Premier Healthcare Services
    Laguna Niguel, CA
  • 01/2013 → 03/2017
    Bank Of The West
    Santa Ana, CA
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
CodeExamDate
S66 Uniform Combined State Law Examination 2022-08-23
S63 Uniform Securities Agent State Law Examination 2019-04-08
  • S66 Uniform Combined State Law Examination
    2022-08-23
  • S63 Uniform Securities Agent State Law Examination
    2019-04-08
Other Names
  • Minh An Thuy Pham
  • Mia A Pham
  • Mia An Ros

View on SEC IAPD

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