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Keith Frederick Smith

Hsbc Securities (Usa) Inc.

Lancaster, NY

Buffalo, NY

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Current Employers
Hsbc Securities (Usa) Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-11
  • NY RA
    APPROVED
    Since 2021-05-11

Branch Locations

Lancaster, NY • United States

Larkin Square, 239 Van Rensselaer Street Floor 2, Buffalo, NY 14210 • 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 Securities (Usa) Inc. Buffalo NY 03/2013 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-05-11
S63 Uniform Securities Agent State Law Examination 2007-10-23
  • S66 Uniform Combined State Law Examination
    2021-05-11
  • S63 Uniform Securities Agent State Law Examination
    2007-10-23

View on SEC IAPD

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